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Surveying safely

RICS Practice Standards, UK

1st edition, guidance note

Surveying safely1st edition, guidance note

This guidance is for RICS members and other professionals involvedwith the property industry.

It considers health and safety responsibilities at both a corporate level(whether the organisation is large or small), and at the level of theindividual property professional.

Covering property-related businesses, it identifies the moral, ethicaland practical issues that confront property professionals everywhere,in all the work that they undertake.

This guidance is based on health and safety law in Great Britain,which covers England, Wales and Scotland.

The following key areas are covered:

• Personal and corporate responsibility for property professionals• Legal considerations and duties• Assessing hazards and risks• Property professionals’ places of work• Occupational health• Visiting premises and sites• Procurement and management of contractors and construction work

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GN 74/2011

Surveying safelyRICS guidance note

1st edition (GN 74/2011)

Acknowledgments

Figures 5 and 6 are reproduced with kind permission from the HSE.

Surveyor Court

Westwood Business Park

Coventry CV4 8JE

UK

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No responsibility for loss or damage caused to any person acting or refraining from action as a result of the material included in this publication canbe accepted by the authors or RICS.

Produced by the Health and Safety Advisory Group of the Royal Institution of Chartered Surveyors.

ISBN 978 1 84219 680 9

Royal Institution of Chartered Surveyors (RICS) June 2010. Copyright in all or part of this publication rests with RICS. No part of this work may bereproduced or used in any form or by any means including graphic, electronic, or mechanical, including photocopying, recording, taping or Webdistribution, without the written permission of the Royal Institution of Chartered Surveyors or in line with the rules of an existing license.

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Contents

RICS guidance notes 1Introduction 21 Personal and corporate responsibility for property professionals 3

1.1 Influencing factors 31.2 Personal responsibilities 31.3 Corporate responsibilities 41.4 In the event ‘it all goes wrong’ 5

2 Legal considerations and duties 62.1 Legal considerations 6

2.1.1 European Union 62.1.2 Acts of Parliament 62.1.3 Regulations 62.1.4 Approved Codes of Practice and guidance 72.1.5 Information sheets and leaflets 7

2.2 Duties 72.2.1 Employers’ duties 72.2.2 Employees’ duties 9

2.3 Potential penalties 102.3.1 Criminal law 102.3.2 Work-related deaths 112.3.3 Corporate manslaughter 112.3.4 Civil liability 12

3 Assessing hazards and risks 153.1 Risk management 153.2 Concepts of managing risk 153.3 Working safely as a property professional 153.4 Assessing risk 163.5 Evaluating risk 16

4 Property professionals’ places of work 214.1 General 214.2 Perception and behaviours 214.3 Geographical location 214.4 Historical use 224.5 Immediate locality 224.6 Risk identification and management 224.7 Common requirements at places of work 224.8 Emergency arrangements 234.9 Building services 244.10 Maintenance of buildings 244.11 Fixed equipment 24

5 Occupational health 255.1 General 255.2 Stress 25

SURVEYING SAFELY | iii

5.3 Violence, bullying and harassment 255.4 Alcohol and drug abuse 265.5 Manual handling 265.6 Repetitive strain injuries (RSIs) 265.7 Noise 275.8 Asbestos 275.9 Hazardous substances 285.10 Diseases 305.11 Biosecurity 305.12 New and expectant mothers 315.13 Sun protection 315.14 Environmental factors 315.15 Health monitoring and health surveillance 31

6 Visiting premises and sites 336.1 Before visiting a property 336.2 Checklist of matters to consider 33

6.2.1 Travelling to and from site 336.2.2 Lone working 336.2.3 Condition of property 336.2.4 Occupation 336.2.5 Activity 346.2.6 Site rules and welfare 346.2.7 Roofs 346.2.8 High structures 346.2.9 Dangerous substances 346.2.10 Diseases 346.2.11 Special access 346.2.12 Special risks 356.2.13 Access equipment 356.2.14 Other equipment 356.2.15 Environmental matters 356.2.16 Personal matters 35

6.3 Arriving and during visits to property 356.3.1 Structural stability 356.3.2 Timbers, glass and sharp objects 356.3.3 Roofs 366.3.4 Unsafe atmospheres 366.3.5 Danger from live and unsecured services 366.3.6 Slip, trip and fall hazards 366.3.7 Hidden traps, ducts and openings 366.3.8 Other people/animals on the property 366.3.9 Contamination 376.3.10 Rural environments 376.3.11 Adverse weather conditions 376.3.12 Vermin and birds 37

6.4 Securing the site and leaving 37

iv | SURVEYING SAFELY

7 Procurement and management of contractors and construction work 387.1 General procurement of contractors 387.2 Procurement and management of construction work 39

7.2.1 Definition of construction work 397.2.2 What is not construction work? 40

7.3 Who procures and manages construction work? 407.4 Client duties for construction work 407.5 Designers for construction 417.6 Competence 417.7 Notifiable projects 42

SURVEYING SAFELY | v

Acknowledgments

This guidance note was produced by the RICS Health & Safety Advisory Group. RICS would like to expressits thanks to the following:

RICS Health & Safety Advisory Group

Chair: Ian Watson, Confluence Management Ltd

Hayley Adams, Savills

Anthony Baker, A&T Consultants

James Bridgland, Phase Consultants

Rob Elvin, Hammonds

John Parsons, RICS

Anthony Taylor, GVA Grimley

Jeffrey Tribich, Barrett Lloyd Davis Associates Ltd

vi | SURVEYING SAFELY

RICS guidance notes

This is a guidance note. It provides advice toRICS members on aspects of their work. Whereprocedures are recommended for specificprofessional tasks, these are intended torepresent ‘best practice’, i.e. procedures whichin the opinion of RICS meet a high standard ofprofessional competence.

Although members are not required to follow theadvice and recommendations contained in thenote, they should note the following points.

When an allegation of professional negligence ismade against a surveyor, a court or tribunal is likelyto take account of the contents of any relevantguidance notes published by RICS in decidingwhether or not the member had acted withreasonable competence.

In the opinion of RICS, a member conforming tothe practices recommended in this note shouldhave at least a partial defence to an allegation ofnegligence if they have followed those practices.However, members have the responsibility ofdeciding when it is inappropriate to follow theguidance.

Alternatively, it does not follow that members willbe found negligent if they have not followed thepractices recommended in this note. It is for eachsurveyor to decide on the appropriate procedure tofollow in any professional task. However, wheremembers do not comply with the practicerecommended in this note, they should do so onlyfor a good reason. In the event of a legal dispute, acourt or tribunal may require them to explain whythey decided not to adopt the recommendedpractice. Also, if members have not followed thisguidance, and their actions are questioned in anRICS disciplinary case, they will be asked toexplain the actions they did take and this may betaken into account by the Panel.

In addition, guidance notes are relevant toprofessional competence in that each membershould be up to date and should have knowledgeof guidance notes within a reasonable time of theircoming into effect.

SURVEYING SAFELY | 1

Introduction

This guidance is based on health and safety law inGreat Britain, which covers England, Wales andScotland.

This guidance is for RICS members and otherprofessionals involved with the property industryand for this reason the term ‘property professional’has been used throughout.

This guidance seeks to consider health and safetyresponsibilities at both a corporate level (whetherthe organisation is large or small), and at the levelof the individual property professional. It coversproperty-related businesses and identifies themoral, ethical and practical issues that confrontproperty professionals everywhere, in all the workthat they undertake.

Appropriate management of health and safety is arequirement for all organisations, includingproperty-related businesses. The requirement forsuch management has been put in place in manycountries across the globe and across industrysectors and governmental organisations, in order toprotect individuals from harm. Such harm, when itdoes occur, is a very personal matter (as inconsequences to the injured and thoseresponsible), whether it affects an individual ormany people. Property professionals mustrecognise and accept their individualresponsibilities to manage and control health andsafety related risks.

The consequences of not meeting individual andcorporate responsibilities can also have adevastating effect on the way that an individual isperceived by managers, colleagues, family andfriends, as well as detracting from the reputation ofthe organisation as a whole.

2 | SURVEYING SAFELY

1 Personal and corporate responsibility forproperty professionals

1.1 Influencing factors

At an international level it is important to considerhealth and safety cultural differences and whetherthe prevailing judicial system is prescriptive or self-regulatory: prescriptive systems set preciserequirements that need to be followed in order tocomply with health and safety law, whereas self-regulatory systems set general requirements,leaving the details and practicalities of achievingcompliance to each organisation and individual. Inparticular, consideration should be given to howcompliance with the law will be judged in the eventthat judgment becomes necessary; for example,following an accident or near miss, or after theserving of an enforcement authority notice for aperceived breach of the law.

Where an organisation or individual is unsure oftheir legal obligations it is a good idea to seekadvice from a competent person with knowledge ofhealth and safety law before undertaking activities,setting goals or strategy, or starting a project. Suchconsultation should, in any event, be considered aspart of a comprehensive risk management process.Consideration of health and safety responsibilitiesshould include potential liabilities in relation to bothcivil and criminal law. The potential financialconsequences of personal injury and theorganisation’s or individual’s response to theirobligations will affect how insurance underwritersview the risk they are asked to insure (i.e. it mayaffect the level of insurance premium and theextent of cover).

Regardless of size, all organisations have aresponsibility to put in place the framework ruleswithin which their employees are to operate.Organisations must inform employees of the rules,policies and procedures and support them incarrying them out. It is the individual’s responsibilityto act within these rules and to act responsibly forthe health and safety of themselves and others.

1.2 Personal responsibilities

Individuals employed by organisations have a directresponsibility to ensure that corporate health andsafety policies and procedures are practisedeffectively and competently.

When individuals encounter, or anticipate, anactivity, task or procedure, in any particular set ofcircumstances, that may lead to the harm of peopleor property, the practical reality of life necessitatesthat the responsibility to act or react appropriately,will remain with the individuals directly concerned.

That is not to imply that every risk or event can beforeseen. Risk assessment is the first step towardsminimising dangerous events and the putting inplace of appropriate risk controls. However, therewill, unfortunately, occasionally be circumstanceswhere events overtake planning and thesesituations will have to be addressed by the personsimmediately affected by them.

An individual’s ability to deal with, and respondappropriately to, an incident will come fromknowledge, experience, competence and theavailability of clear information. Therefore it isimportant that individuals are adequately preparedto deal with and respond to the circumstances theyare likely to encounter. Individuals should also beprepared to recognise when matters are beyondtheir knowledge and competence.

Individuals have a clear responsibility to have aknowledge and understanding of the health andsafety risks appropriate to the tasks theyundertake. This knowledge may be gained throughformal training, keeping up to date with relevantinformation, and personal experience; all of whichcontributes to their ongoing competence.Individuals within an organisation have anobligation to maintain competence levelsappropriate to their tasks.

As a general rule, the more senior the position anindividual has in an organisation, the greater their


responsibility becomes to those over whom theyhave control, whether those are employees or otherpeople who could be affected by the work beingundertaken. Therefore it is essential that those whosupervise, manage, or provide information,instruction or training to others, also have adequateknowledge, competence and experience, and theability to recognise when matters are beyond theircapabilities.

Property professionals are exposed to a hugelydiverse range of business opportunities andactivities and with these opportunities comes theresponsibility to manage health and safety.Individuals who neglect their responsibilities in thisarea can be a danger to themselves and others.

The primary responsibility for health and safetyrests with those individuals who are faced with thepracticalities of daily business. Theseresponsibilities should include:

+ acceptance of their individual responsibility andpersonal role in addressing health and safetyrisk management and their responsibility toabide by corporate and legal requirements

+ co-operation with their employer to minimiserisk to the health and safety of themselves, theircolleagues and all others potentially affected bythe activities they undertake

+ reporting, in good time where possible, anybreaches of health and safety rules andregulations

+ reporting, in good time, any actual, potential orperceived health and safety risks, to personsbest placed to address them

+ taking the time to address the management ofhealth and safety within the area of theirexperience and competence, and within theremit of their management responsibilities, and

+ maintaining adequate and appropriatecompetence in regard to health and safetymatters associated with their activities at work.

1.3 Corporate responsibilities

An organisation is required to have in place amanagement process designed to identifyforeseeable risks and to put in place means toreduce these risks to acceptable levels such thatthe tasks, activities, objectives and goals of theorganisation can be fulfilled successfully and safely.

The management process should include arecognised line management structure to manageand monitor health and safety and to have in placepolicies and procedures appropriate to theorganisation’s business activities. These shouldensure that individuals (both employees and otherswho could be affected by the activities undertakenby, or on behalf of, the organisation) are free fromrisk, or if the risk cannot be eliminated, that it isunderstood, managed and minimised.

Some of these policies and procedures will berequired by law; others may be corporate policiesdesigned to achieve specific corporate aims andobjectives and meet particular expectations. It isimportant to note that organisations and individualsthat operate outside their normal ‘home’ country(i.e. remote workers overseas), will need to abideby the rules and regulations in the host country;and that other cultures may have different customsand may seek to achieve similar health and safetygoals by employing alternative techniques withindifferent legal structures.

The responsibilities of organisations should includemaking adequate allowance in time and otherresources such that their employees and others forwhom they have responsibility (legally, morally andethically) can effectively manage risks to health andsafety.

Effective ways of working in a healthy and safemanner must be led from the top in accordancewith legal guidance. It is generally accepted thatthe director, partner or whoever has ultimateresponsibility for the management of anorganisation, takes responsibility for the safety andhealth of all those affected by the organisation’sundertakings. This is often expressed by way of ahealth and safety ‘policy statement’, which setsdown the organisation’s health and safetymanagement objectives and arrangements.

The organisation’s responsibility for themanagement of health and safety also extends upand down the supply chain. When working forclients or customers, the organisation will need toensure that it understands, and can comply with,client and customer health and safety rules.Similarly, if the organisation seeks to contract, sub-contract or enter into any business arrangementswith others, it is incumbent upon all parties to


ensure that each understands and can comply withthe others’ health and safety rules andmanagement systems.

This may include the provision of the following:

+ corporate structures to manage health andsafety

+ clear lines of accountability for the managementof health and safety

+ polices and procedures appropriate to the workundertaken

+ identification and management of foreseeablerisks

+ training and information in regard to themanagement of health and safety

+ processes to manage contractors, procurementof/provision of services from/to others, and

+ appropriate insurances (which may includeCasualty Insurance, known in the UK asEmployer’s Liability and Public Liabilityinsurance).

1.4 In the event ‘it all goes wrong’

When, occasionally, something does go badlywrong and people are harmed, the injuries or illhealth can have life-changing consequences for theindividuals involved, their family and friends. Suchevents also have the potential to affect theorganisation significantly, including reputation,morale, and possible legal consequences.

Additionally, and importantly, there is the effect thatit may have on the injured party’s colleagues andacquaintances in their working environment,whether or not they had any direct influence on theevent itself. Those responsible may have feelings ofguilt, as well as facing internal disciplinary actionand in some cases, criminal and/or civil legalproceedings.

It is important that incidents and accidents areinvestigated appropriately by a competentinvestigator. The root cause, or causes, should bedetermined and action taken to prevent arecurrence. Enforcement authorities may alsodecide to investigate the incident in order toestablish whether an offence has been committed,with a view to prosecution of individuals, theorganisation or both.

In Great Britain certain occurrences must bereported under the Reporting of Injuries, Diseasesand Dangerous Occurrences Regulations 1995(RIDDOR). The relevant enforcing authority orauthorities (the Health and Safety Executive (HSE);local authority environmental health office; and, inthe event of a fatality, the police) may also carry outinvestigations, and may call for those involved andfor representatives of the organisation to submit tointerview ‘under caution’. In such circumstances itis recommended that legal advice be sought at theearliest opportunity.


2 Legal considerations and duties

This guidance is based on health and safety law inGreat Britain, which covers England, Wales andScotland.

2.1 Legal considerations

It is important to be aware of health and safetylegal obligations and duties that fall uponemployers and individuals. These originate fromvarious legal sources.

2.1.1 European Union

European Union (EU) law places some specificduties on employers and is the primary source ofmost new health and safety laws in member states.The EU operates mainly through directives,requiring member states to pass their ownlegislation to implement the directive. Therequirements to risk assess and introduce controlmeasures came from the EU, along with manydirectives on technical standards and safetyrequirements.

2.1.2 Acts of Parliament

In 1974 the Health and Safety at Work etc. Act1974 (HSWA) came into force. The HSWA is theumbrella legislation for health and safety, andplaces general duties on employers (sections 2 and3) to ensure, so far as is reasonably practicable,that the health, safety and welfare of employees,and of persons not in their employment, is not putat risk. This includes providing and maintainingequipment, having safe systems of work, andensuring that premises are safe.

2.1.3 Regulations

The HSWA is underpinned by numerousregulations, including the Management of Healthand Safety at Work Regulations 1999, whichimpose the requirements to assess risk; ensure thatthere are safe systems in place for carrying outsurveying activities; have access to competenthealth and safety advice; and have emergencyprocedures in place. Key elements of such systemscan be found in the HSE publication, SuccessfulHealth and Safety Management (HSG65).

Figure 1: Health and Safety Regulatoryframework


2.1.4 Approved Codes of Practice andguidance

Approved codes of practice (ACoP) are created bythe HSE to assist duty holders to comply with legalduties. Although failure to comply with ACoPs isnot an offence, it can be taken as evidence offailure to comply with HSWA. Likewise, if you candemonstrate you have followed the provisions ofthe ACoP or that something better than thestandard provided in the ACoP has been achieved,you are unlikely to be found in breach of health andsafety law.

The HSE, and other bodies such as the Institute ofDirectors (IoD), also issue practical guidance tohelp duty holders understand what the law requires.Following guidance is not compulsory, but if youfollow guidance, you are likely to be able todemonstrate that you have taken suitable measuresto comply with the law.

2.1.5 Information sheets and leaflets

The HSE and other bodies such as the RoyalSociety for the Prevention of Accidents (RoSPA)issue information sheets that provide usefulchecklists and other advice that aid, for example,the assessment of hazards and risks. Failing tofollow such advice and guidance is often quoted asan aggravating feature in HSE prosecutions.

2.2 Duties

2.2.1 Employers’ duties

2.2.1.1 All employers

The general duties with which employers mustcomply are set out below. All of these duties arerelevant to property professionals.

Section 2 of HSWA contains the general dutiesowed by an employer to its employees to ensure,so far as is reasonably practicable, their health,safety and welfare at work. In essence the mainduty is to devise and implement a safe system ofwork in relation to employees, to include matterssuch as safe plant and equipment and theprovision of instruction, training and supervision.

Section 3 of HSWA contains the general duty of anemployer to non-employed persons, namely,contractors and members of the public, to conductits undertaking in such a way as to ensure, so far

as is reasonably practicable, that persons not in itsemployment are not exposed to risks to their healthand safety.

Section 4 of HSWA places obligations on personswho have any extent of control of non-domesticpremises, to take such measures as is reasonablefor persons in their position to take to ensure, sofar as is reasonably practicable, that the premises,or means of access thereto or egress therefrom,available for use by persons using the premises,and any plant or substance in the premises, aresafe and without risks to health.

2.2.1.2 Employers with five or more employees

Employers who have five or more employees musthave a written statement of their general policy,with respect to the health and safety at work oftheir employees and the organisation (HSWAsection 1.2 (3)).

The HSE guidance document Successful Healthand Safety Management (HSG 65) providesguidance to organisations on how to satisfy thelegal requirements of health and safety law. Apolicy must include the following:

+ A policy statement signed by the chiefexecutive/managing director/senior partner,outlining the organisation’s commitment tohealth and safety, and stating that it will bereviewed on a regular basis (normally annually).

+ Details of the organisation’s health and safetystructure, with the health and safety roles andresponsibilities of everyone in the organisation.

+ Arrangements for health and safety that showthe organisation’s approach to health andsafety, and how the management system isplanned and implemented (including hazardidentification, risk assessments and controlmeasures).

+ Arrangements to measure, audit and review theorganisation’s health and safety performance ona regular basis.

2.2.1.3 Employers’ express obligations

Employers must have access to competent help inapplying the provisions of health and safety lawand in assessing risks and in applying protectivemeasures (unless they are competent to undertakethe measures without assistance). Suchappointment of competent people for this purposeshould be included in the health and safety


arrangements (Reg. 7, Management of Health andSafety at Work Regulations 1999).

It is recommended that employers’ health andsafety processes include provisions for:

+ carrying out general risk assessments, makingarrangements to implement necessarymeasures, appointing competent people andarranging for appropriate information,instruction and training for employees(Management of Health and Safety at WorkRegulations 1999)

+ ensuring risks are eliminated or reduced andthat control measures are in place for anyremaining risks

+ providing a safe place of work to include basichealth, safety and welfare issues relating to, forexample, ventilation, heating, lighting,workstations, seating and welfare facilities(Workplace (Health, Safety and Welfare)Regulations 1992)

+ assessing the risks of employees who usecomputer and associated equipment includingvisual display screens (monitors) and theirworkstations (Health and Safety (Display ScreenEquipment) Regulations 1992)

+ providing appropriate protective clothing andequipment for employees and ensuring theyknow when and how to use it – e.g. helmets,steel capped shoes, ear defenders, face masks,overalls, torches and batteries (PersonalProtective Equipment at Work Regulations1992)

+ providing and maintaining safe equipment in theworkplace (Provision and Use of WorkEquipment Regulations 1998)

+ assessing the risks of moving objects by handor bodily force (Manual Handling OperationsRegulations 1992)

+ first aid facilities and trained people to coverthe appropriate requirements with regard to firstaid (Health and Safety (First-Aid) Regulations1981)

+ providing information on health and safety to allemployees

+ regular health and safety instruction andtraining (Health and Safety Training InformationSheet – INDG345)

+ displaying a poster in the workplace orproviding employees with a leaflet, telling them

what they need to know about health andsafety (The Health and Safety Information forEmployees Regulations 1989)

+ insurance against accidents and ill health toemployees (Employers’ Liability (CompulsoryInsurance) Act 1969)

+ arrangements in place to notify certainoccupational injuries, diseases and dangerousevents to the Health and Safety Executive(Reporting of Injuries, Diseases and DangerousOccurrences Regulations 1995)

+ ensuring electrical systems and equipment aresafe to use and are maintained in a safecondition (Electricity at Work Regulations 1989)

+ assessing the risks from hazardous substancesin the workplace and taking appropriateprecautions (Control of Substances Hazardousto Health Regulations 2002 (as amended))

+ ensuring arrangements are in place for themanagement of asbestos that may be in yourpremises or premises to which employees orothers may be exposed ( the Control ofAsbestos Regulations 2006 and RICS guidancenote, Asbestos and its implications forsurveyors and their clients)

+ carrying out fire risk assessments, maintainingadequate fire safety arrangements, andequipment and ensuring there are safe fireescape routes and emergency procedures inplace and appropriate training is provided in thecase of an emergency (The Regulatory Reform(Fire Safety) Order 2005 in England and Wales;The Fire (Scotland) Act 2005 Part 3 and TheFire Safety (Scotland) Regulations 2006 inScotland)

+ carrying out health surveillance – if the need isidentified (Health Surveillance Information Sheet– INDG304)

+ those with disabilities (Health and Safety forDisabled People and their Employers Leaflet)

+ controlling working hours

+ ensuring employees have health and safetyinductions on joining the organisation or whentheir job role or circumstances change and thatrecords are kept

+ keeping accurate records of employees while atwork, e.g. training

+ ensuring employees are aware of hazards andrisks at particular premises and sites that theyvisit


+ ensuring awareness throughout the organisationof the stress that employees may be under andcontrol as necessary (How to Tackle Work-Related Stress Guide – INDG430)

+ guidance on driving while on your organisation’sbusiness, including any use of hand helddevices while driving (Driving at Work Guide –INDG382)

+ guidance on lone working (Health and safetyguidance on the risks of lone working –INDG73)

+ ensuring arrangements are in place for visitorsand contractors undertaking work at yourpremises

+ ensuring arrangements are in place regardingduty of care owed to young workers andpersons who have either recently commencedemployment or are engaged on workexperience schemes. Young workers have ahigher accident rate than older workers for anumber of reasons including their lack oftraining, experience and awareness. Youngworkers should be properly supervisedespecially when visiting other premises or aconstruction site (see the relevant section in theACoP Management of Health and Safety atWork – L21)

+ ensuring the duty of care owed to pregnantmothers is complied with (see the relevantsection in ACoP Management of Health andSafety at Work – L21 and another HSEpublication, A guide for new and expectantmothers who work – INDG373).

Please note that the above list is not definitive orexhaustive.

Employers may wish to include managementarrangements for drugs and alcohol misuse.However, this is not mandatory. The HSE hasprovided two guidance documents to assistemployers in their management of these issues –Drug Misuse at work – INDG91 and Don’t mix it – Aguide for employers on alcohol at work – INDG240.

2.2.2 Employees’ duties

HSWA 1974 places a statutory duty on allemployees (section 7), to take reasonable care oftheir own safety and that of others who may beaffected by their acts or omissions at work and to

co-operate with their employer so far as isnecessary to enable the employer to comply withits duty.

Under section 37, a director or manager commitsan offence if the company’s breach was committedwith their consent, connivance or neglect. Consentmeans that a director must have known thematerial facts and agreed to the business’s conducton the basis of those facts. Connivance involvesthe director being aware of what is going on andletting it continue without saying anything about it.Neglect requires the identification of a duty restingupon the individual to do a specific act and failingto do it.

It is a criminal offence for employees tointentionally or recklessly interfere with or misuseanything provided in the interests of health, safetyor welfare. Managers within an organisation arealso liable if they do not carry out the health andsafety responsibilities associated with their duties.

2.2.2.1 Employees’ responsibilities for themselves

It is an employee’s responsibility to:

+ make sure they are familiar with theirorganisation’s health and safety policy andarrangements for implementing safe workingprocedures

+ comply with the health and safety policy andensure that any equipment they use is in goodand safe condition

+ comply with their organisation’s safe systems ofwork, or ensure one is put in place prior tocarrying out work, particularly where a riskassessment shows that a risk exists

+ refuse to condone unsafe working practices

+ distribute information on risks

+ make sure their advice to clients will minimisethe risk to the health and safety of others

+ make sure they are aware of any hazards whichmay exist, together with any safe workinginstructions, which have been issued by othersprior to carrying out work at their premises, and

+ if they are working alone, make sure they followtheir organisation’s lone working procedures.

2.2.2.2 Employees’ responsibilities for others

Employees are responsible for the safety and healthof anyone under their supervision and should takeparticular care with regard to anyone who is


inexperienced and/or in training. Employees arealso responsible for the safety and health of anyonewho may be affected by their work.

It is the responsibility of individual employees to:

+ make sure that suitable and sufficient riskassessments have been carried out in respectof the tasks to be performed by anyone in theircharge, and that safe working methods are inplace that have been communicated to andunderstood by those carrying them out, prior tostart of the relevant work

+ make sure anyone in their charge has suitableand sufficient information, instruction andtraining on health and safety matters for thetask in hand

+ check available records of hazards on particularsites and make sure that all relevant people arenotified

+ make sure, wherever necessary thatprecautions are put in place to safeguardanyone who may be in the vicinity of works andunaware of the possible risks

+ make sure anyone in their charge takes theright personal protective equipment with themon visits and that the right equipment is used(e.g. helmets, safety shoes, ear defenders, facemasks, overalls, torches and batteries) ensuringthat no defective equipment is used and if anyis found, report it to the employer

+ ensure the duty of care owed to young workersand persons in their charge who have eitherrecently commenced employment or areengaged on work experience schemes, iscomplied with. Young workers have a higheraccident rate than older workers for a numberof reasons including their lack of training,experience and awareness. Young workersshould be carefully supervised, especially whenvisiting other premises or a construction site(see the relevant section in ACoP Managementof Health and Safety at Work).

The best way to ensure safe practice by people inyour charge is to set a good example.

2.3 Potential penalties

2.3.1 Criminal law

Criminal law is the process by which society,through the courts, punishes organisations andindividuals for breaches of its rules. Cases must beproved beyond reasonable doubt.

Some health and safety offences are strict liability,which means that the prosecution only have toprove that the offence occurred and do not have toprove intention. Other health and safety offenceshave the ‘defence’ of ‘reasonably practicable’,which means that to comply with the law, allreasonably practicable steps must have beencarried out to minimise or avoid the possibility ofdanger. This involves the weighing up of, on theone hand, the degree of risk and, on the otherhand, the sacrifice, whether in time, trouble ormoney, of the steps necessary to avert or minimisethe risk. The greater the risk, the less weight wouldbe given to the factor of cost.

Not taking the necessary actions to protect peoplefrom avoidable dangers while at work is in itself acriminal offence (under HSWA) and charges may bebrought against both the employer organisation, thedirectors/partners, and in certain circumstancesindividual managers and employees. An accidentdoes not have to happen before enforcementaction is taken for non-compliance. Merelyexposing someone to risk is sufficient to breach thelaw.

The HSE (or other regulators, such as the localauthority or police) can bring prosecutions beforethe magistrates’ court, in which the maximum fineis £20,000 per breach, or, for more serious cases,before the crown court, where the maximum fine isunlimited. The Health and Safety (Offences) Act2008 means that imprisonment is also an option foralmost all offences, limited to six months in themagistrates’ court and two years in the crowncourt. Deaths involving work activities can also leadto manslaughter charges (corporate and grossnegligence), which bring more severe custodialsentences for gross negligence. Directors can alsobe disqualified for breaches of health and safetylaw for up to five years in the magistrates’ court or15 years in the crown court.


Civil sanctions may also be applied in certaincircumstances to simplify health and safetyregulation and make it more consistent and as analternative to criminal prosecution. The RegulatoryEnforcement and Civil Sanctions Act 2008introduces these new sanctions including: fixedmonetary penalties, aimed at minor non-compliance; discretionary requirements includingvariable monetary penalties; enforcementundertakings, where a duty holder agrees to takecertain actions to avoid enforcement action beingtaken; and stop notices, where practices areprohibited until certain steps have been taken.

2.3.2 Work-related deaths

Where a fatality occurs while at work, aninvestigation will be carried out jointly by the policeand the HSE in accordance with the joint protocolfor work-related deaths: Work-related deaths: Aprotocol for liaison (MISC491).

2.3.3 Corporate manslaughter

2.3.3.1 Corporate manslaughter explained

The offence of corporate manslaughter (known ascorporate homicide in Scotland) was introduced bythe Corporate Manslaughter and CorporateHomicide Act 2007, which came into force on 6April 2008, and replaced the common law offenceof manslaughter by gross negligence for companiesand other organisations. An organisation (whichincludes most employers) is guilty of an offence ifthe way in which its activities are managed ororganised (by its senior management) causes aperson’s death and this amounts to a gross breachof a relevant duty of care owed by the organisationto the deceased.

The offence applies to a wide range oforganisations including most companies,government departments, the police force andemployers’ associations (section 1(2)). The Act alsoapplies to partnerships (section 14 and defined insection 25). Partnerships are treated by the Act asif they were incorporated with any proceedingsbeing brought in the name of the partnership andnot in the name of the individual partners; this isnot the case where prosecutions are brought underthe HSWA where the charges are laid againstindividual named partners rather than in the nameof the partnership.

The Act does not apply to individuals. Section 18states that: ‘An individual cannot be guilty of aiding,abetting, counselling or procuring the commissionof an offence of corporate manslaughter’.

For an organisation to be guilty of an offence underthis Act, the way in which it has managed ororganised its activities must: (a) cause a person’sdeath and (b) amount to a gross breach of arelevant duty of care owed by the organisation tothe deceased. An organisation is only guilty of anoffence if ‘the way in which its activities aremanaged or organised by its senior management isa substantial element in the breach’ (section 1(3)).The term ‘senior management’ includes people whoplay a significant role in the making of decisionsabout how the whole or a substantial part of anorganisation’s activities are to be managed ororganised or actually managing or organising thoseactivities. The breach will be deemed to be ‘gross’if ‘the conduct alleged to amount to a breach ofthat duty falls far below what can reasonably beexpected of the organisation in the circumstances’(section 1(4)(b)). In determining this, the court willtake into account whether the organisation failed tocomply with any health and safety legislation, howserious that failure was, and how much of a risk ofdeath it posed. The court may also take intoaccount whether there were any attitudes, policies,systems or accepted practices in the organisationthat were likely to have encouraged a managementfailure or to have produced tolerance of it, and mayhave regard to any health and safety guidance thatrelates to the alleged breach. The jury will be askedto consider whether the breach was a single act ofomission or a simple lapse or mistake on the partof an individual, or whether the failure was part of apattern of failures, near misses and minor incidentsthat were brought to the attention of managementand should have acted as a warning, but weresimply ignored.

According to section 2(5) of the Act, ‘[Whether a]particular organisation owes a duty of care to aparticular individual is a question of law. The judgemust make any findings of fact necessary to decidethat question’.

Duties of care include the following:

(a) A duty owed to its employees or to otherpersons working for the organisation orperforming services for it

(b) A duty owed as occupier of premises


(c) A duty owed in connection with:

(i) the supply by the organisation of goodsor services (whether for consideration ornot);

(ii) the carrying on by the organisation of anyconstruction or maintenance operations;

(iii) the carrying on by the organisation of anyother activity on a commercial basis; or

(iv) the use or keeping by the organisation ofany plant, vehicle or other thing

(d) A duty owed to a person who, by reason ofbeing a person within subsection (2), issomeone for whose safety the organisation isresponsible.

The penalties available if found guilty are: anunlimited fine; a remedial order, requiring theorganisation to take steps to remedy themanagement failure, including any deficiencies inhealth and safety policies, systems or practices;and/or a publicity order, requiring the organisationto publicise the conviction, including details of theoffence and the level of fine.

2.3.3.2 Sentencing guidelines

The Sentencing Guidelines Council published Thedefinitive sentencing guidelines: corporatemanslaughter and health and safety offencescausing death (2010), which came into force on 15February 2010. The guidelines set out principles toguide courts in sentencing organisations that areconvicted of corporate manslaughter under theCorporate Manslaughter and Corporate HomicideAct 2007 and also health and safety offences underHSWA 1974, where the offence was a significantcause of death. The guideline recommends thatfines for organisations found guilty of corporatemanslaughter should seldom be below £500,000and may be measured in millions of pounds. Forhealth and safety offences, where the offence isshown to have caused death, the appropriate finewill seldom be less than £100,000 and may bemeasured in hundreds of thousands of pounds ormore.

Factors increasing the seriousness of the offenceand thus increasing the fine include: theforeseeability of serious injury; how far short of theapplicable standard the defendant fell; whethernon-compliance was widespread and indicative ofa systematic departure from good practice; and

how far up the organisation responsibility for thebreach went. Other factors include: the number ofdeaths and persons seriously injured; failure toheed warnings or advice or to respond to nearmisses of a similar nature; cost-cutting; anddeliberate failure to obtain or comply with relevantlicences. Features that would reduce the level ofthe fine include: prompt acceptance ofresponsibility; high level of co-operation with theinvestigation; genuine efforts to remedy the defect;a good health and safety record; and a responsibleattitude to health and safety.

2.3.4 Civil liability

Employers, the self-employed and employees owea duty of care to anyone who may be affected bytheir actions, where the effects of their actions arereasonably foreseeable. This includes duties to notonly employees, but also to contractors, visitors,customers, and neighbours.

The duty of care owed from employers toemployees includes providing safe premises, a safesystem of work, safe plant, equipment and tools,and safe fellow workers. Employers can also bevicariously liable to persons injured by the wrongfulacts of their employees, if such acts are committedin the course of their employment.

A civil action may be taken by the claimant (i.e.injured party) against the defendant (i.e. employer,employee or self-employed person). Civil casesmust be commenced within three years of thebreach and must be proven on the balance ofprobabilities.

An increasing area of liability in negligence is thatof stress through work overload, particularly incases where the result is reasonably foreseeable(see Case study 1). For a case to succeed innegligence, it will have to be demonstrated that aduty of care is owed by the defendant to theclaimant; that the duty of care was breached; andthat the defendant suffered damage or loss.Defences include contributory negligence (i.e. thatthe injured person was careless or reckless) or thatthe injuries were not reasonably foreseeable.

The usual sanction for civil cases is damages,which can include loss of current/future earningsand damages for pain and suffering.

The following are examples of criminal and civilcases that have resulted from a breach of the lawor negligence in a duty of care.


Case studies

Case study 1Dickins v O2 plc [2008] EWCA Civ 1144In this case it was held that the psychiatric ill health suffered by an employee had been reasonablyforeseeable and caused by her employer. Once the employee had explained her difficulties at work toher manager and their effects on her health, some responsibility passed to the employer. Managementintervention was then required and the employee should have been sent home and referred to theemployer’s occupational health department. Reference to the employer’s counselling services wasinsufficient in the circumstances of the case.

Case study 2London Fire and Emergency Planning Authority v New Look Retailers Ltd [2010] EWCA Crim 1268A fire occurred at the New Look store on Oxford Street in April 2007, resulting in the attendance of 30 fireappliances, closing Oxford Street for two days and resulting in the premises beingsubsequently demolished. New Look was fined £400,000 under the Regulatory Reform (Fire Safety) Order2005 for its role in the fire. Although it was unclear how the fire started, New Look was fined for havingan inadequate risk assessment and inadequate safety training.The breaches involved failure to provide clear statements of the arrangements for testing the fire alarmsystem, for designated emergency routes, for arrangements with neighbouring occupiers, and forrefresher training, in addition to the absence of identification of emergency escape lighting andinadequate records relating to people to assist in the event of fire and the extent of emergencyprocedures.There were also problems in relation to obstructions, blockages and lack of signage, all of which wouldhave been detected by a suitable and sufficient risk assessment. The court took account of the fact thatthere had been an enforcement notice five years earlier and that the company had only one fire safetyadvisor for a very large business. New Look’s appeal as to the level of fine imposed was rejected by thecourt of appeal, as although no-one was injured, the judge concluded: ‘when it comes to fire, one doesnot have to think too deeply in order to appreciate the potential for disaster’.

Case study 3HSE v Enterprise Inns Plc (Unreported Crown Court case, October 2010)Enterprise Inns Plc was fined £300,000 after a pub landlord died from carbon monoxide poisoning andover 400 other tenants were put at risk due to properties not having valid gas safety certificates. Thedefendant admitted breaching section 3(1) of the Health and Safety at Work etc. Act 1974. Tenantlandlord Mr Lee, who was found unconscious by a cleaner just after noon on 12 November 2007, hadturned on a gas fire 10 hours earlier, before falling asleep.

Case study 4RD v WH Smith plc (Unreported Out of Court Settlement, 2010)The claimant, a 53-year-old man, received £220,000 for the fractured wrist he sustained when he slippedat work in November 2005 on shiny boards of display material which had been left on the floor byanother employee the previous day.The claimant brought an action against the defendant alleging that it had breached the Workplace (Health,Safety and Welfare) Regulations 1992, particularly Regs 12 and 17, the Management of Health and Safetyat Work Regulations 1992, and its duty of care, in that it had been negligent. The claimant alleged that theboards had a specific place in a shelving area where they should have been stored, but that they hadinstead been left carelessly on the stockroom floor. The defendant admitted liability.Approximately four-and-a-half years after the accident, the strength and flexibility of his wrist remainedlimited and it was likely that he would develop arthritis in the future. The claimant also suffered fromstress and depression following the accident. He was absent from work for seven days and was unableto continue pursuing his hobbies of long-distance cycling, carrying out DIY work and gardening. He laterhad to resign from his position at work as a result of his ongoing symptoms and subsequently obtainedoccasional part-time work at his local library.


Case study 5Prosecution of building surveyor in relation to asbestos (Unreported magistrates’ court case)The HSE successfully prosecuted a building surveyor who failed to carry out an asbestos survey during arefurbishment at 92–95 Livery Street, Birmingham. The defendant of Bray, County Wicklow, Ireland, wasconvicted of a breach of the Control of Asbestos Regulations 2006 by undertaking demolition work thatexposed people to asbestos. He was fined £4,000 in total and ordered to pay costs of £4,016 atBirmingham magistrates court.

Case study 6HSE v Zurich Management Services Limited (Zurich) and Railcare Limited (Railcare) (Unreported CrownCourt case)Zurich Management Services Limited and Railcare Limited were each fined £17,000 after pleading guiltyto breaches of section 2(1) of the Health and Safety at Work Act 1974 at Aylesbury crown court on Friday,26 March 2004.On 12 March 2002, an engineering surveyor, Mr Sarinder Singh Gidda, and another worker, Mr RoyGoldney, were injured when a Mobile Elevating Work Platform (MEWP) overturned at Wolverton RailwayDepot, near Milton Keynes.The MEWP was overloaded and both Mr Gidda and Mr Goldney suffered injuries when it overturned. TheHSE alleged that both companies failed to properly plan a lifting operation as part of the examination andinspection of the MEWP.


3 Assessing hazards and risks

3.1 Risk management

Risk management is undertaken all the time byboth businesses, in assessing threats to theirsuccessful operation, and by individuals in theirdaily life at home as well as their place of work.Individuals must take personal ownership formanaging health and safety risks.

Business risk management could include financialrisk, reputation risk, change management, projectrisk management as well as operational riskmanagement disciplines such as environmentalmatters, contractor procurement and control ofhealth and safety.

Fundamentally, risk management means taking timeto consider how any plan of action could deviatefrom what you expect. It should be rememberedthat plans can turn out better than expected as wellas going wrong, therefore risk management shouldalso seek to identify opportunities for any potentialbenefits.

In the context of this section, however, we will beconcentrating on the identification, prioritisation andmanagement of downside, health and safety-relatedrisks, which have the potential to harm people orproperty.

Property professionals should have a level of‘competence’ sufficient to enable them to takepersonal ownership for managing health and safetyrisks.

‘Competence’ could be defined as having sufficientknowledge, experience and ability to carry out theirduties in relation to the specific tasks to beundertaken and the risks which the tasks will entail;to recognise their limitations and take appropriateaction in order to prevent harm to those carryingout the tasks or those who may be affected.

When considering what could ‘go wrong’ with aplan we seek to identify potential problems andthen plan how best to reduce the chances of aproblem occurring or, at the very least, reducing theconsequences should one present itself.

In this section, guidance will also be provided onthe concepts of risk management and how these

may be applied to health and safety in theworkplace. Please refer to section 2 for an outlineof the responsibilities organisations have to theirstaff (and others who could be affected by theirundertakings) and the responsibilities individualshave to manage health and safety risks tothemselves and others.

3.2 Concepts of managing risk

As already mentioned, risk is not necessarily a badthing as businesses have to take risks to achievetheir objectives, just as individuals do in order toachieve theirs; the important issue is that bothbusinesses and individuals need to know what risksthey are exposing themselves to. Once the risks(positive or negative) have been identified they canbe measured, prioritised and managedappropriately.

It is very important to ensure that any significantrisks are recognised and separated out from lesssignificant ones in order that major issues requiringmanagement are not lost in a ‘fog’ of minormatters.

It is also important to recognise that every person’sperspective of ‘riskiness’ is different. There arenumerous reasons for these differences, forinstance, they could be as a result of age, gender,cultural differences or simply differences in anindividual’s life experience. A place of work, orwork activity, that is well understood by one person(who is fully trained and competent) may be highlydangerous to another person who is unfamiliar withthe hazards and safe methods of achieving thetask.

3.3 Working safely as a propertyprofessional

The exposure to risk will change as circumstanceschange. Some of the work undertaken by propertyprofessionals is relatively low risk and can beconducted in a familiar office environment. Forinstance, the preparation of briefing documents,specifications, reports and drawings can, usually,be safely conducted within an office environment. It


is important to remember, however, that just sittingfor extended periods at a desk in front of acomputer can cause health problems if the workequipment is not appropriately adjusted andadequate breaks are not taken. These matters areaddressed in the Display Screen Equipment (DSE)Regulations 1992 and should be subject to aspecific, individual risk assessment.

If the work takes property professionals out of theiroffice the risks may increase. For instance, themajority of inspections, where the work can becarried out without the need to access roofs orenter roof spaces, riser ducts or confined spacesare likely to remain relatively low risk. However, if itis necessary to use ladders, enter restricted areas(such as roofs, scaffolds, plant rooms or confinedspaces) the inherent risk will increase.

If the property professional is required to visitpremises or construction sites (includingrefurbishment and demolition), they could beexposed to toxic/hazardous materials, be requiredto drive for extended periods, be lone working orworking close to vehicles, fast flowing/deep wateror working in any number of other environmentswhere the likelihood of risk, and consequences, ofharm could increase substantially.

3.4 Assessing risk

When assessing the potential for risks with negativeoutcomes the assessment should start with takingtime to identify all the ‘inherent’ risks – i.e. what areall the (significant) issues that could cause harm topeople or property, assuming there are no ‘controls’in place?

Controls can be as simple as adequate andappropriate training and wearing appropriate PPE(personal protective equipment) in lower riskenvironments. However, as the risks increase so willthe measures required to control them in order toreduce the risk to an acceptable level.

Risk assessment has been described by the HSE intheir publication Five steps to risk assessment(2006) as ‘a careful examination of what, in yourwork, could cause harm to people so that you canweigh up whether you have taken enoughprecautions or should do more to prevent harm’.

For the purposes of this guidance, and with regardto occupational health and safety, risk assessmentinvolves the management of two key concepts:hazard and risk.

A ‘hazard’ is something with the potential to causeharm to someone. The harm could be an injury or illhealth. ‘Risk’ is the likelihood (whether high or low)of the harm being realised. Importantly, riskincreases, as the severity, or likelihood, or thenumber of people affected by the harm increases. Itshould be noted that if a risk is not categorised as‘low’ it could be deemed to be ‘higher risk’; thisdoes not necessarily mean ‘high risk’ – just higherthan low.

Simple guidance for risk assessment in regard tooccupational health and safety is outlined in manyof the UK enforcement authority’s (HSE) guidancedocuments, including the Five steps to riskassessment (www.HSE.gov.uk) which can besummarised as:

1 Identify the hazards

2 Decide who might be harmed and how

3 Evaluate the risks and decide on precautions

4 Record your findings and implement them

5 Review your assessment and update ifnecessary.

3.5 Evaluating risk

There are several methods for measuring risk asthere are numerous people and businesses tryingto do so; each organisation will have its own way ofundertaking a risk assessment and, whereappropriate, recording them. Similarly, there aremany ways to deliver the important task of ensuringeveryone who could be affected by the risk(s) areadvised of them, and trained how to undertake thework safely (often called a ‘safe method of working’or ‘method statement’).

All risk assessments should be undertaken by acompetent person (e.g. appropriate qualifications,training and experience).


This guidance document will therefore seek to illustrate the process and methodology rather than giveprescriptive rules. Each organisation, and individual, will need to consider how to assess risks in theirworkplace in a way that is appropriate to the organisation, and the risks to which it is exposed. Muchdetailed guidance is published on assessments of risks, and the sophistication necessary to remain withinthe law will differ from organisation to organisation.

It is worth considering what level of sophistication is appropriate for the organisation to ensure theinformation gained from the process is put into practice rather than being lost in too much paperwork. It isgood practice to review the process on a regular basis and, as is so for all management systems, implementa strategy of continuous improvement.

Measurement of risk can be by either quantitative or qualitative evaluation, or in some cases, by both.

Figure 2 is an example of a very simple risk assessment matrix that illustrates how a risk may be providedwith a relative value, by multiplying the values on the vertical and horizontal axes. Please note it is theresponsibility of each organisation to define and provide guidance on what is meant by ‘high’, ‘medium’ and‘low’ on both axes.

Figure 2: Example of a simple risk assessment matrix

As a general guide, any risk assessment with a value of 9 will need to be eliminated or reduced; similarly arisk assessment value of 4 or 6 will also need to be reduced. Risk assessment values of 2 or 3 can have‘control measures’ implemented and information provided to those at risk. Risk assessments of 1 are notnormally considered as significant. Figure 3 illustrates a slightly more complex risk assessment matrix.

Figure 3: Example of a more complex risk assessment matrix


In Figure 3, as a general guide, any riskassessment with a value of 12 to 25 must beeliminated or reduced; a risk assessment value of 6to 10 should also be reduced; risk assessmentvalues of 3 to 5 should have ‘control measures’ andinformation provided to those at risk. Riskassessments of 1 and 2 are not normallyconsidered as significant. There are many differentvariations of the above matrices and the generalguide on the interpretation of the risk assessmentvalue is subjective. Different competent persons willeach have their own view on the risk assessmentvalues and appropriate control measures.

Not all organisations attempt to place a value onindividual risks, instead choosing to simply identifythe risks in a more subjective manner and establishwhether, (and what) control(s) are required toreduce it to an acceptable level or remove italtogether.

This may be achieved by reviewing the risks anddeciding that anything that is not ‘low’ risk issimply a ‘higher’ risk; organisations often choose todivide into ‘low’, ‘medium’ or ‘high’ risk. This moresubjective approach is illustrated in Figure 4.

There are organisations that choose to combine asubjective evaluation with a scoring technique,thereby adding more definitive prioritisation.Depending on the approach taken it may beadvantageous to take expert advice to initiate aprocess appropriate to the organisation’s businessundertakings.

It is worth noting that it is important not to allowsignificant risks to be lost in among a wide range oftrivial matters. Although this will depend on theparticular circumstances under assessment, theintention of risk assessment is to identify significantrisks and either eliminate or control them, not tocreate a risk free environment.

The HSE provide guidance on assessment of risk inmany areas of interest to the property professional.The basic risk assessment form provided by way ofthe example in Figure 5 has been published by theHSE as an example for estate agents(www.hse.gov.uk/risk/casestudies/pdf/estateagency.pdf).

Unless the work/task is deemed very low risk it islikely that a written risk assessment may berequired, especially where it will be necessary toadvise others. The following format may be suitablefor lower risks. Note, however, that the moresignificant the risk exposure, the more detail andsophistication of assessment and development ofsafe working practices (which may include a permitsystem) will be necessary.

It is highly recommended that propertyprofessionals of all disciplines consult withappropriately qualified health and safetyprofessionals in relation to the adequacy andmethodology for undertaking risk assessmentwithin their organisation.


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4 Property professionals’ places of work

4.1 General

Property professionals undertake a variety of work,tasks and activities in a very broad range oflocations, so it is not possible to provideprescriptive guidance as to what health and safetyrelated provisions should be implemented in every‘place of work’.

A ‘place of work’ is a physical location wheregeneral work-related activity is undertaken, asopposed to a ‘workplace’, which, for the purposesof this guidance, will be defined as the actual pointwhere the work is executed (e.g. a desk, a plantroom, a confined space, or a visit to a premises orconstruction site).

While much work undertaken by many propertyprofessionals may take place in a relatively low riskenvironment, such as their office, the extent ofmany RICS members’ professional interests extendbeyond the office. Their place of work may includelocations that will present differing levels of healthand safety risk, for example, at, on, or near otherpremises such as:

+ residential properties/estates

+ remote field/moorland

+ construction/demolition/refurbishment sites

+ industrial sites

+ shopping centres

+ leisure centres

+ quarries or other mineral works

+ near or over water

+ roads

+ airfields

+ oil or other drilling rigs.

It is also sometimes the case that a car or othervehicle may be a regular ‘place of work’ if it is usedfor the execution of work activities. In Great Britain,road traffic accidents or collisions have beenexpressly identified as one of the highest work-related causes of serious (and fatal) injuries sufferedby employees while at work.

4.2 Perception and behaviours

It is important to keep in mind that each individual’sperception of their place of work, and subsequentlytheir behaviour will differ, dependent on theirknowledge, experience and competence within thatlocation and the attendant risks and opportunities.

Individuals who are exposed to new environmentsattract a significantly greater potential risk of harmthan those individuals who already have a robustknowledge and understanding of that environment.This is often due to the newcomer not fullycomprehending the inherent risks in the newenvironment (and the procedures to manage themeffectively), rather than their overall competence;and highlights the need to provide comprehensiveinduction training in all such circumstances.Conversely it is also recognised that individualswho are extremely familiar with their environmentscan become complacent and fail to maintainappropriate vigilance.

It is also worth considering the following:

+ It can prove valuable to have a comprehensionof any potential enhancement of risk due to theproperty professional’s gender, age, culture,language and other individual and personalcircumstances and abilities (or those individualsaccompanying them while working).

+ It is important to recognise that although aplace of work may have had a benign riskprofile under one set of circumstances, it maybe very different under other circumstances(e.g. driving a car for a short distance on abright summer’s day when compared to drivinga long distance in the dark while snow falls. Ora development site during the early stages ofconstruction compared with the same site oncethe work has been completed and it is open foroccupation).

4.3 Geographical location

As well as the immediate physical characteristics,the geographical location of the place of work inthe world (and therefore the prevailing jurisdiction)


will have an effect on the legal requirements for theprovision of health and safety management in thatcountry’s place of work.

Much of the prevailing law that relates to places ofwork in Great Britain is referred to in section 2 ofthis publication, however, there are further rules,regulations and guidance which may affect themanner in which health and safety risk in the placeof work is managed. For example, rules on buildingconstruction will be different should the building beerected in an earthquake zone; and rules forworking in areas subject to the risk of flooding maybe different to those where there is no suchinherent risk.

There are many different national rules andregulations regarding the standards required tomaintain safe use of utilities and operation ofequipment (such as supply of electricity, gas, water,air conditioning plant/heating/boilers, etc.). Thereare also wide variations internationally, for themanagement of fire risk, the use and disposal ofdeleterious materials (e.g. asbestos) as well asclinical and other inherently ‘riskier’ wastematerials.

4.4 Historical use

If the place of work is located on ground that haspreviously been used for alternative uses (e.g. abrownfield site), it is worth establishing whetherthere remains any potential contamination or similarmatters of relevance from past usage.

4.5 Immediate locality

Consideration should be given to the otherinhabitants of the property and/or those in itsimmediate surroundings (e.g. could they be hostileto the presence of the property professional?). Thisis of particular importance where the propertyprofessional may be lone working and dealing withcultural differences and/or perhaps unfriendlyoccupants and animals.

Adjacent land use, neighbours and other potentialhazards may present additional risk to the place ofwork. For example, if there are governmentbuildings, military establishments, major transporthubs, agricultural/construction equipment and/or‘signature’ buildings or local landmarks, all of theseattract a greater threat of civil disturbance or

terrorism. Some will add other risks such asexcessive noise (e.g. aeroplanes, trains), largevolumes of people (e.g. well attended protestmarches in or around local landmarks) or geologicalissues such as a risk of flooding due to proximity torivers or ineffective local drainage.

4.6 Risk identification and management

It is necessary to identify the risks of working at (orin/on) a particular place of work, which may includeconsideration of factors outside the immediatelimits of the premises or site.

It is important that information concerning the risksand the safe method(s) of managing them isprovided to all those who may be affected; thismay include visitors, contractors, clients and thegeneral public, as well as the property professionalsand their immediate colleagues.

It is recommended that part of the riskmanagement process includes the careful selectionof appropriately competent personnel and anappropriate induction process prior to theircommencing work at the location.

4.7 Common requirements at places ofwork

With regard to the more common places of worksuch as offices and site-based work there are anumber of matters that it can prove valuable to putin place. Often the following matters may betermed ‘welfare’ or ‘work place environment’.

Wherever people are expected to work forextended periods of time at a particular place ofwork it is accepted practise to put in place basicrequirements to make the place of workcomfortable and an efficient and productiveoperational centre, to comply with the Workplace(Health, Safety and Welfare) Regulations 1992.These basic needs include:

+ toilet facilities (appropriate for the number ofpersonnel and with regard to the numbers ofmen and women, and those who may havelimited mobility)

+ access to good, wholesome drinking water

+ appropriate control over temperature such thatextreme temperatures (either too hot or toocold) are avoided


+ appropriate replacement of fresh air, such thatfresh, wholesome air is available with sufficientchanges of recycled air being in place wherethis is necessitated

+ adequate light, preferably natural light and suchthat it is not too bright and/or the surfaces ondesks and computer screens, etc. do not reflecttoo much and cause discomfort

+ appropriate emergency arrangements (seebelow) which will include adequate provision ofFirst Aid ( and appropriately trained personnelto administer it)

+ space for storage of files, etc. as well as spacefor storage of clothing (hats and coats, etc.)including, potentially a place to dry wetworkclothes/overalls/PPE

+ an area where it is safe and free from hazards(dust, noise, etc.) where personnel may eat,drink and take occasional rest breaks

+ assessment of the risks attendant to theworkplace. For example, this may includeassessment of the desk and computerarrangements to avoid repetitive strain injuries,suitability of any personal protective equipmentissued to employees, any need to considernoise, dust, light, dangerous atmospheres,hazardous materials, areas of restricted access,etc.

+ emergency arrangements (see 4.8);arrangements to detect dangerous situations,alert everyone and evacuate (or otherwise)personnel to a place of safety.

4.8 Emergency arrangements

Wherever individuals are required to undertakework, it is important to have appropriateprocedures in place to ensure they can beevacuated to a place of safety in the event of anemergency situation.

What is appropriate and necessary for eachlocation will depend on the specific threats to thesafety of the people and property at that location.

It is worth considering that some emergencies mayaffect the organisation and employees for a longtime after the initial event. For example, if a buildingis burned out by fire, damaged by high winds,hurricanes, flooded or is otherwise contaminated(e.g. with legionella in the water system) it may take

weeks, months or years to relocate. If anyone washurt or killed in the incident this will affect thepeople, as well as having an impact on theorganisation’s reputation. These wider matters areaddressed by business continuity/resilienceplanning and it is recommended that these issuesare also clearly considered and addressed by allorganisations of all sizes.

In complex situations it is recommended thatexpert opinion is sought before re-occupation ofthe location is allowed.

The most common major threat in the builtenvironment is fire and the resilience of buildings tofire, smoke and similar catastrophic events willdiffer greatly depending on the structure andcompartmentalisation of the building.

It is often useful for basic emergency preparation toinclude:

+ provision of appropriate detection (i.e. heat,smoke or gas)

+ consideration of prevention procedures(inspection routines, removal of combustiblematerials, especially if these have the potentialfor explosion or the generation of toxic fumesor dusts), which will include the proper storageof fuels such as gas cylinders, oil, gasoline, etc.

+ consideration of extinguishing agents, whichmay include fire extinguishing systems such ashand held devices, sprinklers or inert gas (e.g.in server/communication/plant rooms)

+ provision of appropriate alarms; these mayinclude sounders, sirens and lights (especiallywhere there are audibly disabled personnelpresent). It is of great importance to ensurealarms can be heard/seen in all locations (e.g.in cellars, undercrofts and on roofs or externalareas)

+ maintenance regimes for all of the above

+ the travelling time for any third party emergencyservices, including fire services and the locationof doctors, hospitals, etc.

+ provision of robust evacuation proceduresleading to a safe place (note it is possible thatretiring to a safe haven within a building mayalso be an effective procedure in certaincircumstances) – it is advisable to considermore than one safe place as there is the


potential for a single location to becompromised by the event itself

+ assessment of the risk of fire and otheremergencies and clear description of how theseare managed should be provided to alloccupants of all locations

+ at least two full practice evacuationsundertaken annually, as people will tend to dowhat they are used to doing when traumaticevents occur.

There is a legal responsibility for occupiers ofbuildings to undertake Fire Risk Assessments innon-domestic properties and to share theinformation with affected occupiers. Therefore inmulti-tenanted buildings there may be several firerisk assessments necessary. In the event that atenant (or other occupier) does not provide asuitable Fire Risk Assessment for areas of aproperty for which they are responsible it may benecessary for the managing agent (or other personin control of the building) to consider, after makingdue request, informing the appropriate enforcementauthority if the tenant still fails to comply with thestatutory requirement.

4.9 Building Services

Most places of work will have significant amountsof equipment installed that affect the effectiveoperation of the premises. It is recommended thatall such equipment is serviced and maintained inaccordance with manufacturers’recommendations. Many items of plant andequipment will also require statutory testing andcertification.

Some examples of equipment requiring regulartesting and maintenance are:

+ lifts and lifting equipment

+ air conditioning and ventilation/heating systems

+ water (drinking and otherwise) equipment

+ other utility services (e.g. gas or electricity).

4.10 Maintenance of Buildings

Maintenance of the building fabric will normallyrequire the use or provision of temporary accessequipment such as Mobile Elevating WorkPlatforms (MEWPs), which include ‘scissor lifts’ or‘cherry pickers’, or the erection of temporaryscaffolds, in order to gain access to those parts ofthe structure or fabric that require work to beundertaken. Proof that the access equipment hasbeen inspected by a competent person for safetyshould be obtained before use.

4.11 Fixed equipment

Fixed equipment is often installed, especially inhigh rise buildings for the purpose of regularcleaning of cladding glazing and other externalsurfaces to the building fabric and may include:

+ cradles, suspended or tracked specialistequipment housed at high level or at roof level

+ gantries, fixed ladders and tracked ladders.

All plant and equipment should be the subject ofregular inspections (statutory inspections arerequired under several sets of regulation to becarried out by competent persons with writtenreports or records to be maintained), kept in goodworking order and, where appropriate, worn,damaged or defective components replaced.


5 Occupational health

5.1 General

Occupational health can be considered as thepromotion and maintenance of physical and mentalwell-being of all staff. As such, it concerns healthissues that may not be immediately apparent ordevelop over a period of time (referred to aschronic conditions in medical terms).

For many people working in service industries,occupational health issues may represent theprincipal areas of risk in terms of managing healthand safety. While working in an office environmentis generally lower risk, many property professionalswill be exposed to higher occupational health risksin the course of their duties when away from theoffice.

A health and safety management system mayinclude arrangements for the management of thefollowing matters:

+ stress

+ violence, bullying and harassment

+ alcohol and drug misuse

+ manual handling

+ Repetitive Strain Injuries (RSIs)

+ noise

+ asbestos

+ hazardous substances

+ diseases

+ biosecurity

+ new and expectant mothers

+ sun protection

+ environmental factors

+ health monitoring and health surveillance

These are explained briefly below.

5.2 Stress

The HSE describe stress as ‘the process that ariseswhere work demands of various types andcombinations exceed the person’s capacity andcapability to cope’.

Current HSE guidance recommends the use of aset of management standards, which define thecharacteristics, or culture, of an organisation wherethe risks from work-related stress are beingeffectively managed and controlled. Themanagement standards cover six key areas of workthat, if not properly managed, are associated withpoor health and well-being, lower productivity andincreased sickness absence. In other words, theycover the primary sources of stress at work. The‘management standards’ are:

Demands – this includes issues such as workload,work patterns and the work environment.

Control – how much say the person has in the waythey do their work.

Support– this includes the encouragement,sponsorship and resources provided by theorganisation, line management and colleagues.

Relationships – this includes promoting positiveworking to avoid conflict and dealing withunacceptable behaviour.

Role – whether people understand their role withinthe organisation and whether the organisationensures that they do not have conflicting roles.

Change – how organisational change (large orsmall) is managed and communicated in theorganisation.

The management standards represent a set ofconditions that, if present, reflect a high level ofhealth well-being and organisational performance.

A standard five-step risk assessment approach canthen be used to: identify the risk factors; identifypeople at risk; evaluate the risks; record thefindings; and monitor and review the assessments.

Further guidance is available from the HSE website(www.hse.gov.uk).

5.3 Violence, bullying and harassment

For the purposes of this document, violence is ‘anyincident in which a person is abused, threatened orassaulted in circumstances relating to their work’.


Bullying at work can take many forms. It caninvolve:

+ ignoring or excluding someone

+ spreading malicious rumours or gossip

+ humiliating someone in public

+ giving someone unachievable or meaninglesstasks

+ constantly undervaluing someone’s workperformance

+ cyber nuisance.

There is no legal definition of workplace bullying.‘Bullies’ are often, but not always, more senior thanthe person they are bullying. ‘Bullies’ sometimestarget groups as well as individuals.

Harassment relates to unlawful discrimination onthe grounds of race, sex, disability, age, religion orbelief, or sexual orientation.

It is recommended that employers have a policy inplace that enables them to identify these problems;to provide appropriate communication channels forthe problems to be addressed; and to put in placeimpartial and fair systems to address and resolveproblems.

5.4 Alcohol and drug misuse

The misuse of alcohol and drugs (whetherprescription or illegal drugs) is a major cause ofworkplace absenteeism and impaired performance.At worst, it can be a direct cause of workplaceaccidents.

It is recommended that employers put in place apolicy to address the misuse of alcohol and drugs.In some cases, this might extend to a ban on theconsumption of alcohol and associated screeningfor alcohol and drug use together with disciplinaryprocedures for breaches of the rules.

It is worth considering that an alcohol or drug habitmay be related, in part, to work related stress, andthis should be investigated as a possible underlyingcause.

5.5 Manual handling

Manual handling is a major cause of a range ofmusculoskeletal disorders (MSDs) including backpain and upper limb disorders.

Manual handling operations are not restricted tolifting and lowering heavy loads and can alsoinclude:

+ pushing

+ pulling

+ bending

+ twisting

+ reaching and

+ carrying.

A risk assessment should address not only theweight of the loads being handled but also:

+ the nature of the materials being handled (sharpedges, container shape, temperature, etc.)

+ the physical capabilities of the people involved

+ the task involved (duration, distance, etc.)

+ the environment (slippery or uneven surfaces,poor visibility, etc.).

All manual handling operations should be planned,giving due regard to the risk assessment for thetask, and that training in manual handlingtechniques be provided to employees whoundertake manual handling operations.

5.6 Repetitive strain injuries (RSIs)

Another significant cause of MSDs is a range ofactivities that can result in repetitive strain injuries(RSIs) and which commonly manifest themselves asupper limb disorders (ULDs) affecting the arms,from fingers to shoulder and the neck.

One of the primary causes of RSI for employees inservice industries is poor workstation design forcomputer users. The Health and Safety (DisplayScreen Equipment) Regulations 1992 requireemployers to:

+ analyse workstations to assess and reducerisks

+ ensure workstations meet specified minimumrequirements

+ plan work activities so that they include breaksor changes of activity

+ provide eye and eyesight tests on request, andspecial spectacles if needed and

+ provide information and training.

The analysis of workstations to ensure that they aredesigned correctly should address the comfort of


the user (room to move freely, adjustable chair andscreen) as well as the conditions of the immediateenvironment (lighting levels, glare, reflection, etc.)Guidance is available from the HSE website.

5.7 Noise

Exposure to noise at work will need to beaddressed where employees are required to worknear noisy plant or machinery for anything otherthan brief periods of time, such as undertaking avaluation inspection of plant and equipment in afunctioning woodworking factory or being near anoisy operation on a construction site.

As a guide, the HSE suggest the following basictests to determine whether noise levels are aproblem requiring further action source: Health andSafety in Roof Work – HSE HSG33, 3rd edition(p. 68).

Test Probable noiselevel

A riskassessment willbe needed if thenoise is like thisfor more than

The noise isintrusive butnormalconversation ispossible

80 dB (lowerexposure actionvalue)

6 hours

You have to shoutto talk tosomeone 2 metresaway

85 dB (upperexposure actionvalue)

2 hours

You have to shoutto talk tosomeone 1 metreaway

90 dB (Note: Theexposure limit valueis 87dB)

45 minutes

General risk assessment procedures requireexposure to noise to be avoided and, where this isnot possible, for noise levels to be reduced as faras possible and for hearing protection to be madeavailable and used.

At the lower exposure action value of 80 dB(A),hearing protection must be available for employeesto wear and employees must be provided withinformation, instruction and training.

At the upper exposure action level of 85 dB(A), theworkplace must be designated as a ‘hearingprotection zone’ and personal hearing protectorsmust be provided to and used by employees withinthe zone (and anyone else entering the zone) inaccordance with the Noise at Work Regulations

2005. The extent of the zone must be marked withwarning signs in an approved format.

Anyone entering a hearing protection zone mustwear appropriate hearing protection when noisywork activities are in progress, irrespective of theduration of their exposure to noise.

Other guidance is available in the HSE publication:Noise at work – guidance for employers on theNoise at Work Regulations 2005 – HSE INDG 362(available at www.hse.gov.uk).

5.8 Asbestos

Asbestos is a naturally occurring rock mineralwhich has heat and fire resisting properties. It wasused extensively in a wide range of buildingmaterials until 1985 (1999 for chrysotile asbestos)when its use in Great Britain was banned. Figure 6shows typical locations of asbestos containingmaterials in a building

Asbestos fibres can cause a range of lung-relateddisorders when the fibres are inhaled. The moreserious conditions result in significantly impairedlung function and death, often many years afterexposure to the asbestos.

Anyone in the vacinity of asbestos containingmaterials (ACMs) which are being disturbed (e.g.drilling into walls; sanding materials; removingcladding; etc.) may be exposed to any asbestosfibres released from those materials. Thewidespread use of asbestos in buildingconstruction up until the relatively recent pastmeans that exposure is likely unless appropriatehealth and safety precautions are taken.

The identification of ACMs and the production of amanagement plan for preventing exposure toasbestos (in accordance with the Control ofAsbestos Regulations 2006) The recommendedstarting point is as follows:

1 a management survey to manage ACMs duringthe normal occupation and use of premises

2 a refurbishment/demolition survey where thepremises, or part of the premises, needupgrading, refurbishment or demolition

3 asbestos awareness training for anyone liableto be exposed to asbestos fibres at work.

Upon identification of ACMs not already addressedby way of a management plan, the use of specific


procedures to avoid exposing people to asbestosfibres, including the use of licensed contractorsunder the HSE asbestos licensing scheme to workwith ACMs (other than certain asbestos cementmaterials).

Case study 7A health and safety consultant who died in 2007at the age of 61 from asbestos-related lungdamage wrote an account of his earlier workinglife and how exposure to asbestos had cut shorthis life.Writing for Safety and Health Practitioner (IOSH2007), Robert Owen CMIOSH said:‘During the 1960s I served an apprenticeship asa heating engineer, which involved work withasbestos-cased pipe insulation materials. Theexposure could be extreme at times and nohazard warning was provided, either by theemployer or by the college during C&GLI training.I completed my apprenticeship at the age of 21. Ihave not worked with asbestos since.Forty years later, in 2005, I noticed that whengardening or undertaking any exercise activity,my breathing became laboured very quickly and Iwould need to stop for a rest. I put this down tosmoking and age and so did not report to mydoctor. In December that year, I lost my appetitefor many things but, being overweight, I didn’tworry as I figured, well, I could do with losing afew pounds. But when I’d lost more than twostone and felt no fitter or better in any way, Ifinally went to my GP. As soon as I mentionedshortness of breath he asked about asbestos. Ofcourse, I knew the implications.After x-rays and CT scans I was diagnosed withmesothelioma on 8 September 2006 and toldthat if I lived for 12 months it would be a bonus.’He died the day after writing the article.

Further guidance on controlling the risks presentedby asbestos is available from the HSE website(www.hse.gov.uk), and RICS guidance note,Asbestos and its implications for members and theirclients.

5.9 Hazardous substances

In addition to managing asbestos, arrangements formanaging health and safety should includeprovisions for managing any other hazardoussubstances. Such substances may include not onlypurchased materials, such as cleaning products(e.g. bleach), pesticides or solvents used in

production processes, but also substances whichare by-products of such processes and naturallyoccurring substances. For example:

+ pesticides (agrochemicals, timber treatments,vermin baits) in store or in use

+ lead paint dusts (from abrasion of old paintedsurfaces)

+ industrial solvents

+ Respirable Crystalline Silica (sand blown aroundin quarries)

+ engine exhaust fumes

+ dusts and spores from decomposingvegetation.

A risk assessment should be undertaken in theform of a COSHH assessment (in accordance withthe provisions of the Control of SubstancesHazardous to Health Regulations 2002) with the aimof avoiding exposure to hazardous substances and,if this is not possible, controlling exposure bymeasures that are proportionate to the health risk.

Working procedures are required to include theprovision of information and suitable training sothat people know:

+ what substances they are working with andwhat harm the substances can cause

+ what the symptoms are of harmful exposure

+ what medical treatment and other action to takein the event of harmful exposure

+ what control measures are required in order towork safely with the substance.

Case study 8A housing association was fined £70,000 after asecurity guard was killed by carbon monoxidepoisoning on a construction site. A petrolpowered generator was used inside the siteoffice and the resulting fumes that the securityguard inhaled caused fatal levels of carbonmonoxide to accumulate in his blood.A risk assessment should have been undertakenfor the operation on site so that the hazard couldhave been identified, the nature and degree ofrisk evaluated, and remedial action taken suchas considering alternative power sources orputting the generator outside in a safe position.The security guard was a contractor and thehousing association had a duty to keep him safeunder section 3 of the Health and Safety at Worketc. Act 1974.


Figure 6: Asbestos in a building


5.10 Diseases

A range of diseases can arise from work-relatedactivities. In terms of relevance to propertyprofessionals, diseases fall into two broadcategories as follows:

1. Chronic diseases arising from repeated orongoing exposure to hazardous substances. Suchdiseases include:

+ skin diseases such as dermatitis (also known aseczema), urticarial, and skin cancers

+ respiratory diseases such as occupationalasthma, chronic obstructive pulmonary disease,and silicosis.

2. Transmitted diseases caught by people whoare exposed to the organism that causes thedisease concerned. Such diseases include:

+ Legionnaires’ disease – a potentially fatal formof pneumonia caused by the bacteriumlegionella pneumophila and related bacteria thatcan be found naturally in environmental watersources such as rivers, lakes and reservoirs,usually in low numbers. As they are commonlyfound in environmental sources they may alsobe found in purpose-built water systems suchas cooling towers, evaporative condensers andwhirlpool spas. The disease is caught by thebacteria being dispersed or sprayed into theatmosphered. Such purpose built watersystems therefore need to be subject tospecific hygiene procedures (refer to the ACoPand guidance document Legionnaires disease –The Control of Legionella Bacteria in WaterSystems (L8)).

+ Zoonoses – this is a general term for diseasesthat can be transmitted from animals to humanssuch as Weil’s Disease, Lyme Disease andPsittacosis (see below). There are approximately40 potential zoonoses in Great Britain and themore common diseases include Ringworm (afungal skin disease) and Orf (a virus carried bysheep and goats which commonly causesulcers on the face, hands or arms of infectedpeople and which last six to eight weeks).Appropriate PPE and good personal hygieneare therefore important health and safetycontrol measures.

– Weil’s disease (a form of leptospirosis) – aserious, and sometimes fatal, bacterial

infection that is transmitted to humans bycontact with urine from infected rats. Thesymptoms are a ‘flu-like illness starting witha persistent and severe headache whichcan then lead to vomiting, muscle pain andmore serious symptoms.

– Lyme disease – a bacterial infectiontransmitted to humans by the bite of aninfected tick. The symptoms are a ‘flu-likeillness, sometimes with a skin rash aroundthe area of the bite. There may also beenlarged glands in the armpit, groin or neck.More serious conditions can develop later ifthe disease is not treated.

– Psittacosis – a bacterial infection that canbe acquired from contact with birds or birddroppings. The symptoms can include fever,diarrhoea, headache, and severepneumonia, potentially leading to coma insevere cases.

Risk assessments for work activities and COSHHassessments for hazardous substances can ensurethat harmful levels of exposure are avoided.However, some degree of occupational healthsupervision should be provided where the findingsof assessments show that exposure may besignificant or where people have allergies or pre-existing conditions that make them moresusceptible to harm than might be the case formost people.

5.11 Biosecurity

Biosecurity is an occupational health issue, whichmay not necessarily have a direct impact uponhuman health but is important to many businessesthat property professionals may visit. It is importantfor anyone visiting premises which are subject tobiosecurity to ensure that they follow all proceduresrequired by the business operating from thepremises in order to reduce risks.

At agricultural production units, vehicles, clothesand footwear of visitors should be clean in order tolimit the spreading of weed seeds and transmittablediseases between premises (foot and mouthdisease, avian ‘flu, swine fever, etc.)

At food preparation, storage and distributionpremises, food hygiene requirements should becomplied with in order to avoid contamination of


food and transmission of diseases to humans(e.coli. Salmonellosis, etc.)

At hospitals, care homes or other premises whereclinical waste may be present (used needles,wound dressings, etc.), suitable precautionsincluding appropriate disposal, the use ofappropriate PPE and good personal hygienepractices should be taken in order to avoidinfection or contamination. Similar precautions maybe necessary at vacant or derelict premisesfrequented by drug abusers.

5.12 New and expectant mothers

Employers have a legal obligation under theManagement of Health and Safety at WorkRegulations 1999 to ensure a safe and healthy workenvironment for their pregnant or breastfeedingemployees, so it is important that employees knowthat they should inform their employers if they areexpectant or new mothers. Risk assessments forwork activities undertaken by personnel should takeaccount of the special needs of new and expectantmothers.

Examples of matters that require carefulconsideration or avoidance include:

+ exposure to hazardous substances (particularlythose affecting the reproduction systems suchas lead or ionising radiation)

+ intensive manual handling activities

+ contact with animals (such as sheep at lambingtime).

5.13 Sun protection

Risk assessments for personnel working outsideshould take account of exposure to sunlight andthe associated risks of damage to skin, which caninclude:

+ sunburn

+ blistering

+ skin ageing and

+ skin cancer arising from longer term exposure.

It is important that information is provided topeople and they should be encouraged to keepskin covered; to use sunscreen of at least sunprotection factor (SPF) of an appropriate level of

protection on exposed skin; and to schedule workactivities to avoid periods of intense exposure tothe sun when at work.

5.14 Environmental factors

A number of occupational health conditions canarise from a wide range of environmental factors inthe workplace such as:

+ poor lighting

+ high or low temperatures

+ background noise.

Such matters may be identifiable as specificproblems, in which case remedial action can beplanned and implemented having regard to legalrequirements (particularly the provisions of theWorkplace (Health, Safety and Welfare) Regulations1992) and associated guidance.

Sometimes, personnel may exhibit symptoms ofoccupational health problems from the buildingenvironment (e.g. headaches, runny noses, etc. andgenerally increased sickness absence) but it maybe difficult to identify specific causes (sometimescaused by bad air and referred to as ‘sick buildingsyndrome’), in which case specialist advice shouldbe sought and health surveilance may benecessary.

5.15 Health monitoring and healthsurveillance

The importance of addressing both health andsafety matters means that both areas need to becovered fully in the health and safety policy andarrangements for a business.

It is recommended that employers obtain essentialhealth information from employees in order that riskassessments can address the particular needs ofemployees with relevant medical conditions suchas:

+ allergies

+ asthma and other lung conditions

+ eyesight.

It is recommended that health surveillance shouldbe carried out periodically where the riskassessment has indicated it is necessary.

The extent to which information is needed andacted upon will depend largely upon the nature of


the work activities concerned and employers canformulate a policy accordingly. This might extend toa medical questionnaire or medical examinationsfor new employees; regular medical examinationsfor existing employees; and health surveillance orscreening for critical exposures.

It should be noted that such data may be subjectto Privacy/Data Protection legislation.


6 Visiting premises and sites

6.1 Before visiting a property

Before a visit to a premises or site to carry out aninspection, survey or site investigation of land,structures or occupied buildings, the propertyprofessional should carry out a pre-assessment ofthe hazards and risks that are likely to beencountered on the visit.

The company or organisation should have a set ofprocedures in place for carrying out this type ofassessment including suitable training andinstruction for employees. These may range from afairly simple generic assessment for visiting aproperty under their management where theyalready have a wealth of information readilyavailable, to a detailed assessment of sites whereaccess equipment may need to be hired in, orarrangements need to be made to enter a confinedspace or gain access to a restricted area.

It is important to collect as much information aspossible from the client or person who hasrequested the visit, or from the organisation orperson who is in control of or managing thepremises or site. At this stage it is useful to have acheck-list available to ensure the right questionsare asked, but remember that there may be mattersrequiring action that may not be on the check-list.

As full an assessment as is reasonably possibleshould be made, consulting with others asnecessary. Remember that, if the visit is notplanned properly, it may not be possible to visitcertain parts of the property upon arrival.Ultimately, it may be necessary to abandon the visitand re-visit once the necessary arrangements havebeen made.

6.2 Checklist of matters to consider

6.2.1 Travelling to and from site+ Will it be safer to use public transport or use

your own transport?

+ Has the journey been planned to avoid drivingtoo fast, for too long or when tired?

+ Is the property professional particularlyvulnerable (e.g. under prescribed medication)?

+ Be aware of where to park (clear, secure, goodlighting, easy to exit and not locked before youleave).

6.2.2 Lone working+ Does the organisation have specific

requirements or procedure for lone working thatmust be followed?

+ Is lone working a safe option and if so whatprovisions are made for communications in anemergency? Does the organisation have arecord of employees’ mobile phone numbersand would you have a good signal at thepremises or site?

+ Who has a record of where the lone worker isand when to expect them back in the office orat home?

+ Have procedures been made for regular ‘check-in’ calls?

+ How would access for rescue be achieved?

+ Does a lone worker suffer from any medicalcondition which could affect personal safety,such as epilepsy, diabetes, etc?

+ Ask the question ‘If I did not come back fromthe property; who would know that I wasmissing and how would they be able to findme?’

6.2.3 Condition of property+ Are the premises known to be derelict or in

poor condition, and if so what is the extent andnature of the damage?

+ Are any areas defined as unsafe for access?

+ Are security measures in force and how isaccess to be gained?

+ If a construction site, what stage has beenreached?

+ What are the site rules?

+ Is protective clothing or special equipmentneeded?

6.2.4 Occupation+ Is the property occupied? If so, do the

occupants know a visit is being made and havethey made any special access arrangements?


+ Who is likely to be encountered on the property(e.g. members of the public, children, squatters,vagrants, animals)?

+ Are the occupants or neighbours likely to beaggressive or disaffected?

6.2.5 Activity

If the property is occupied, what is the nature ofthat occupation? For example

+ residential

+ retail

+ offices

+ transport hub

+ manufacturing

+ warehousing

+ agricultural, etc.

The hazards should be considered e.g.environmental or process/activity such as noise,fumes, vehicle movements, electronic equipment,mechanical plant or machinery, animals, etc?

6.2.6 Site rules and welfare+ Does the occupier have house or site rules?

+ What are the emergency arrangements?

+ Are there ‘permit to work/enter’ procedures tobe followed?

+ Are there site induction procedures to befollowed?

+ Are toilet, wash and first aid facilities availableand, if so, what are the arrangements? (Refer tothe Workplace (Health, Safety and Welfare)Regulations 1992 and Construction (Design andManagement) Regulations 2007.

6.2.7 Roofs+ Is it necessary to go on to the roof or can

inspection be undertaken from elsewhere (e.g.neighbouring buildings, with binoculars, CCTV)?

+ If it is necessary to go on to the roof, is a safemeans of access provided and is there a saferoute once on the roof?

+ Does the roof have edge protection (minimum950mm above roof level)?

6.2.8 High structures+ If a scaffold exists, has a competent person

checked that it is safe for use?

+ Are towers, masts, etc. to be visited, and if sohow will they be accessed?

+ Is a ‘cherry picker’ or other special accessequipment/Mobile Elevating Work Platform(MEWP) needed? If so it should be managed bya competent supplier and checked to confirm ithas been certified as safe for use under theprovisions of the Lifting Operations and LiftingEquipment Regulations 1998 (LOLER).

6.2.9 Dangerous substances+ Are there likely to be any hazardous substances

(refer to the Control of Substances Hazardousto Health Regulations 2002 (COSHH)) such aschemicals, radiation, asbestos, gas or othernoxious atmosphere, explosives, etc? Whatsafety precautions are needed? Seek specialistadvice as necessary.

+ Are records such as a register of asbestoscontaining materials (ACMs) or environmentalreports available? What do they reveal andwhat special precautions need to be takenunder the Control of Asbestos Regulations2006?

6.2.10 Diseases

+ Is the nature of the site such that it could becontaminated with any form of clinical waste?

+ Are there likely to be any used syringes/needles, condoms, razor blades, etc?

+ Could the site be a source of anthrax which, forexample, could be present in very old hairedplaster?

+ Could legionella bacteria be present in disusedwater storage systems?

+ What hazards might arise from the presence ofvermin (e.g. Weil’s disease)?

+ Do any biosecurity procedures need to befollowed (e.g. hygiene procedures for pig andpoultry farms)?

6.2.11 Special access

+ Will special access arrangements be required(e.g. underground, abseiling) and who willprovide it and manage it?

+ Is special training needed?


6.2.12 Special risks+ Is the nature of the building or site such that it

presents special hazards, e.g. railway premises,security establishments, plant rooms, roof toptelecoms equipment (microwave radiation fromsatellite dishes and other transmissionequipment), old hospital premises (radiation informer x-ray units), excavations (unsupportedsides, unventilated atmosphere), etc?

+ Are there confined spaces? These are not justnarrow or small spaces but poorly ventilated orenclosed spaces where the atmosphere may betoxic, lacking in oxygen or flammable/explosive(special precautions will be required under theConfined Spaces Regulations 1997).

+ Specialist advice should be obtained if any ofthese hazards exist.

6.2.13 Access equipment

Do you need to take access equipment or arrangefor it to be provided at the property, such as:

+ ladder

+ Mobile Elevating Work Platform (MEWP).

6.2.14 Other equipment

In certain circumstances any of the followingequipment may be necessary (refer also to thePersonal Protective Equipment Regulations 1992(PPE)):

+ gloves

+ respirator or face mask

+ safety helmet

+ ear defenders

+ eye protection

+ boots

+ high visibility clothing

+ temporary/task lighting.

6.2.15 Environmental matters+ Will weather conditions and/or light levels

increase risk? (e.g. snow storms on the journeyor windy conditions on high structures)

+ Will temperature extremes present a hazard?

6.2.16 Personal matters+ Does gender or level of fitness have any

bearing on the hazards which have been

identified? Pregnant or nursing mothers needspecial consideration. Would lack of fitnesspresent a hazard in itself?

+ Will phobias (e.g. vertigo or claustrophobia) orissues (e.g. a medical condition) impairjudgment or affect personal safety?

The above lists are by no means exhaustiveand the extent to which any of the itemsmight be relevant in a particular circumstancewill vary.

6.3 Arriving and during visits toproperty

However well a visit is planned in advance, mattersthat are unknown until arrival at the property willneed to be considered during the visit. This mayarise simply through a general lack of informationabout the site, or because the condition of theproperty, its occupation or other factors aredifferent or have changed unexpectedly.

If significantly dangerous situations are noticed(whether it is likely to affect safety or health) thereis a duty to report the issue to an appropriateperson (e.g. building owner, occupier, site manager)as soon as reasonably possible.

On arrival, review the original risk assessment ofthe hazards and be alert during the visit to otherhazards such as those outlined in 6.3.1 to 6.3.12below. If property professionals feel uncomfortableor are not competent to manage the risks at anytime during their visit, they must not continue andmust obtain the assistance of a competent person.

6.3.1 Structural stability

The chance of partial or total collapse of:

+ chimney stacks, gable walls or parapets

+ leaning, bulged and unrestrained walls(including boundary walls)

+ rotten or corroded beams and columns

+ roofs and floors

+ corroded metal fire escapes, platforms,balconies and walkways.

6.3.2 Timbers, glass and sharp objects+ rotten and broken floors and staircases. Flimsy

cellar flaps and broken pavement lights


+ floorboards, joists and buried timbersweakened by age, decay or insect attack

+ projecting nails and screws, broken glass

+ glazing in windows and partitions may be loose,hinges and sash cords weak or broken; glasspanels in doors and walls may be painted over

+ sharp edges and projecting objects.

6.3.3 Roofs+ fragile asbestos cement and plastic coverings

+ fragile roof lights (often obscured by dirt ortemporary coverings)

+ low parapets or unguarded roof edges, loosecopings

+ rusted, rotten or moss covered fire escapes,access ladders and guard rails

+ rotten roof decking and joists

+ slippery roof coverings (slates, moss or algaecovered slopes)

+ broken access hatches

+ mineral wool dust, mortar droppings and birds’nesting material and excrement in roof voids

+ cornered birds and vermin

+ insects, including bee and wasp colonies

+ water cooling plant may harbour legionellabacteria

+ unguarded flat roofs

+ broken, loose, rotten and slippery crawlingboards and escape ladders

+ weak flat roofs

+ high winds during roof access

+ ill-secured or flimsy, collapsible, sectional orfixed loft ladders

+ projecting ceiling joists and low purlins

+ ill-lit roof voids.

6.3.4 Unsafe atmospheres+ confined spaces with insufficient oxygen

including manholes, roof voids, cellars, vaults,ducts and sealed rooms

+ rotting vegetation, which may consume oxygenand give off poisonous fumes

+ accumulation of poisonous and flammablegases in buildings on contaminated land

+ stores containing flammable materials such aspaint, adhesives, fuel and cleaning fluids

+ hazardous substances, including toxicinsecticides, herbicides and fungicides.

+ gas build-up in subfloor voids.

6.3.5 Danger from live and unsecuredservices+ electricity, gas, water and steam supplies

+ high voltage rooms, sub-stations and fuelstores

+ temporary lighting installations: mainsconnections and generators

+ hidden cables and pipes (beware intrusiveinvestigations)

+ overhead electrical cables.

6.3.6 Slip, trip and fall hazards+ slippery surfaces

+ overgrown vegetation

+ changes in level

+ obstacles.

6.3.7 Hidden traps, ducts and openings+ lift and services shafts, stairwells and other

unguarded openings

+ unsecured, corroded or missing covers tounderground chambers

+ manholes, including those obscured byvegetation

+ cesspools, wells and septic tanks

+ surfaces concealed by debris or standing water

+ poorly illuminated areas.

6.3.8 Other people/animals on theproperty+ physical dangers from squatters, vagrants or

guard dogs

+ disease risks from discarded syringes andcondoms

+ structures weakened by vandalism or arson

+ aggressive tenants or property owners.


6.3.9 Contamination+ asbestos, lead and other substances hazardous

to health

+ chemicals in storage or leaked

+ contaminated water supplies

+ contaminated air conditioning systems(Iegionella bacteria).

6.3.10 Rural Environments+ hazardous operations such as tree felling or

tractor work

+ shafts, holes, pits, ditches, etc.

+ farm animals

+ chemicals in storage or in use

+ unstable ground conditions (waterlogging,flooding, etc.).

6.3.11 Adverse weather conditions+ ice/snow

+ extreme heat/sun

+ high winds (falling slates/tiles, falling treebranches, risks of being blown from highstructures).

6.3.12 Vermin and birds+ rats and mice (Weil’s and other diseases)

+ bird droppings (Psittacosis)

+ lice and fleas may be present in bedding, softfurniture and carpets

+ Lymes disease from ticks present in vegetationor birds’ nests.

6.4 Securing the site and leaving

Upon completion of the visit, the property shouldbe left secure and any occupier or manager who ispresent at the property should be informed that youare leaving.

Similarly, it is recommended that someone in theoffice or at home knows where you are and whenyou are due to return. Let them know as you leaveand confirm when you expect to be back.

It is worth considering on completion of the visit tothe property concerned:

+ Whether there are any ‘lessons learnt’ andwhether any changes should be made to yourprocedures or to those of your company ororganisation.

+ If any hazards on the property need to benotified to the property manager for remedialaction.

+ If any accidents, incidents or ‘near miss’occurrences need to be entered into yourcompany/organisation’s accident book andnotified to the occupier or manager of theproperty.


7 Procurement and management ofcontractors and construction work

7.1 General procurement of contractors

Property professionals may be involved in theprocurement, instruction and management of avariety of different types of contractors. These mayinclude, for example:

+ cleaners (premises, windows, plant andequipment, etc.)

+ ‘for sale’ board fitters

+ security guards

+ bailiffs

+ other RICS property professionals (valuers,building surveyors, etc.)

+ other professionals (architects, engineers, etc.)

+ facilities management companies

+ building maintenance workers

+ construction companies.

The principles for the management of contractorsare the same, regardless of the type of work that isto be undertaken, although special rules will applyfor construction work (including buildingmaintenance) as described in section 7.2.

In summary, the person instructing the contractorhas a duty to think carefully about what the workwill involve; to check that the contractor iscompetent; and then to provide any relevantinformation about the property to the contractorbefore work starts. It is recommended that thereare adequate arrangements in place for themonitoring and control of the work and, uponcompletion, reviewing the arrangements todetermine if any improvements can be made infuture.

This can be broken down into the following:

1. Identify the job

Consider the particular skills required for the work,bearing in mind the details of what is to be done.For example, a cleaning job may appear simply tobe a job for a cleaning contractor but, if the workinvolves any of the aspects listed below thenspecialist skills, training or authorisation will be

needed. This should be checked with thecontractor and it may be necessary either toprovide for additional contractors or to use adifferent contractor who can supply all of thenecessary skills:

+ Work at height (ladders; step ladders; specialistaccess equipment)

+ Waste removal (waste carrier licensing,appropriate removal equipment)

+ Work with hazardous substances (acid basedcleaning compounds, bird droppings, clinical/hazardous waste, etc.)

+ Is there any need for special licenses.

2. Select a suitable contractor

Having identified the job and the range of skillsrequired, the contractor must have a sufficient levelof competence (including health and safetycompetence) for the work. This should include:

+ suitable training for personnel engaged in thework

+ membership of any relevant professional bodiesor trade organisations

+ experience with similar work having beencompleted satisfactorily (ask for references)

+ a check on any enforcement action orprosecution by the HSE in the past

+ appropriate arrangements for managing healthand safety (policy; risk assessments; subcontractor arrangements; etc.)

+ sufficient insurance cover (employer’s liabilityand public liability).

Many organisations choose to use an ‘approvedcontractors’ list onto which contractors are addedonce their competence has been checked andcopies of supporting documents have beenobtained. Checks may also need to be undertakenwith regard to competence and resources forspecific activities.


3. Discuss details of the work with thecontractor before instructions are issued for thejob

The person instructing the contractor is likely toknow more about the property than the contractorand therefore has a duty to pass on any relevantinformation to the contractor. This will allow thecontractor to plan the work safely.

Ask yourself the question: ‘If I were the contractor,what would I want to know about this propertybefore starting work?’

For example:

+ What are the induction arrangements?

+ Who else will be at the premises?

+ Who are they, what will they be doing andwhen?

+ Where are the electricity, gas and waterservices located?

+ Is there any asbestos where I will be working?

+ What facilities can I use to rest and wash?

+ Where can I leave vehicles and equipment?

+ What are the emergency arrangements?

It is recommended that a record of these details iskept, and many people choose to use a standardform or checklist. The amount of informationconcerned and the extent to which the details arerecorded will increase with the size and complexityof the job.

At this point, the contractor should be able to pricethe job accurately regarding health and safetyissues and a decision can be made as to whetherto instruct the contractor.

4. Monitor the work

Arrangements should be confirmed for ongoingmonitoring of the work, including provision forregular meetings, site visits or any other methodsnecessary to supervise the work effectively.

Again, the extent of the arrangements needed willincrease with the size and complexity of the job.Furthermore, a new contractor will require greatersupervision than a contractor who is familiar withboth the property and the work, and who hasdemonstrated safe and effective working methodsin the past.

5. Review the arrangements

Upon completion of the work, it is recommendedthat the person who instructed the contractorreviews the arrangements in order to establishwhether any lessons can be learned from theprocess; and whether any changes are needed tothe arrangements for the selection and control ofcontractors.

The HSE publication, Use of contractors – a jointresponsibility (HSE 2002) sets out the actionrequired by the parties involved and gives details offurther reference sources.

7.2 Procurement and management ofconstruction work

7.2.1 Definition of construction work

The Construction (Design and Management)Regulations 2007 (CDM) define construction workas the carrying out of any building, civil engineeringor engineering construction work and includes:

+ the construction, alteration, conversion, fittingout, commissioning, renovation, repair, upkeep,redecoration or other maintenance (includingcleaning which involves the use of water or anabrasive at high pressure or the use ofcorrosive or toxic substances),decommissioning, demolition or dismantling ofa structure

+ the preparation for an intended structure,including site clearance, exploration,investigation (but not site survey) andexcavation, and the clearance or preparation ofthe site or structure for use or occupation at itsconclusion

+ the assembly on site of prefabricated elementsto form a structure or the disassembly on siteof prefabricated elements which, immediatelybefore such disassembly, formed a structure

+ the removal of a structure or of any product orwaste resulting from demolition or dismantlingof a structure or from disassembly ofprefabricated elements which immediatelybefore such disassembly formed such astructure and

+ the installation, commissioning, maintenance,repair or removal of mechanical, electrical, gas,compressed air, hydraulic, telecommunications,


computer or similar services which are normallyfixed within or to a structure.

7.2.2 What is not construction work?

The ACoP for the CDM Regulations states thatconstruction work does not include (among others)the following:

+ putting up and taking down marquees andsimilar tents designed to be re-erected atvarious locations

+ general maintenance of fixed plant, exceptwhen this is done as part of other constructionwork, or it involves substantial dismantling oralteration of fixed plant which is large enoughto be a structure in its own right, e.g. structuralalteration of a large silo; complex chemicalplant; power station generator or large boiler

+ tree planting and general horticultural work

+ positioning and removal of lightweight movablepartitions, such as those used to divide open-plan offices or to create exhibition stands anddisplays

+ surveying – this includes taking levels, makingmeasurements and examining a structure forfaults

+ off-site manufacture of items for later use inconstruction work (e.g. roof trusses, pre-castconcrete panels, bathroom pods and similarprefabricated elements and components).

7.3 Who procures and managesconstruction work?

If the work that contractors are undertaking isconstruction work, then CDM 2007 will apply,irrespective of the size or the duration of the work.

Property professionals likely to be involved in theprocurement and management of constructionworks include:

+ those employing contractors on behalf ofclients

+ those responsible for managing their client’sproperty portfolio (e.g. asset and managingagents, etc.)

+ those responsible for managing their ownorganisation’s property or property portfolio(e.g. local/central government, the armed

forces, health, education, commercial andmanufacturing organisations, etc.)

+ consultants involved with construction projectson behalf of their clients (e.g. project managers,designers, cost consultants, CDM co-ordinators, contractors, etc.)

+ property developers and their employees

+ those employed in organisations undertakingprivate finance initiatives (PFI) and public-private partnerships (PPP) type projects.

The responsibilities and liabilities will depend upona number of factors and relationships (see section7.6 below) but in general terms compliance with thegeneral duties under health and safety, fire andenvironmental legislation will apply regardless of themethod of procurement and contractualarrangements for undertaking the works.

7.4 Client duties for construction work

When procuring or managing construction work it isessential to have knowledge of the CDMRegulations and to comply with them.

CDM defines a project as including or intending toinclude construction work including the planning,design, management and other works involved inthe project until the end of the construction phase.

CDM applies to all construction work and there isno lower limit on the size of the project or theamount of construction work in time or number ofpeople undertaking the work, for CDM to apply.There will always be CDM duties for clients (except‘domestic clients’ who have work done on theirown or family members’ homes), designers andcontractors.

It is the client’s duty under CDM to provide pre-construction information to designers andcontractors (CDM – ACoP Appendix 2). If some ofthe pre-construction is not available then surveysand investigations will need to be provided by theclient (e.g. asbestos, contaminated ground, hiddenservices).

Property professionals may be the client or actingon behalf of the client (e.g. as a consultant projectmanager). Those acting on behalf of the client mayhave a contractual agreement with the client toensure the client’s CDM duties are discharged, butthe client still retains their legal duties under CDM.


It is therefore important to establish who is theclient, as some property professionals, althoughacting as consultants, can be the client (e.g. asset/property managers) if their appointment includesseeking or accepting the services of others to carryout a project for them or they carry out the projectthemselves (e.g. facilities managers). The CDMACoP states that:

‘where…it may not be immediately obvious whois legally the client…take into account who:+ ultimately decides what is to be constructed,

where, when and by whom;+ commissions the design and construction

work (the employer in contract terminology);+ initiates the work;+ is at the head of the procurement chain;+ engages the contractors.’

7.5 Designers for construction

Designers have duties under CDM 2007 andinclude anyone who, in the course of theirbusiness, is involved in preparing designs forconstruction work (including variations), which caninclude drawings, design details, specifications,bills of quantities, specifying articles or materials.

Many property professionals are thereforedesigners, including architects, engineers, buildingsurveyors and other consultants who specify theuse of a particular method of work or material orstipulate a particular layout for a building, such as aproject managers, design managers, quantitysurveyors and clients. Contractors are alsodesigners when they carry out design work as partof their contribution to a project, such as thoseproviding design, procurement and constructionmanagement services.

Designers are required to avoid foreseeable risks intheir designs (so far as is reasonably practicable)and the greater the risk, the greater the weight thatmust be given to eliminating or reducing it. Thisapplies to the construction phase of a project andextends to those who will maintain, repair, clean,refurbish and demolish structures, as well as thehealth and safety of ‘users’ of workplaces.

Where significant risks remain when designers havedone what they can to avoid or reduce risks tohealth and safety, they should provide information

with the design to ensure that those who may beaffected are aware of the remaining risks and cantake account of them.

If property professionals are acting as designersthey must be able to demonstrate they arecompetent to undertake their duties under CDM2007.

Designers’ duties are defined in CDM 2007, Regs11 and 18.

7.6 Competence

Regardless of the type of work being procured ormanaged, it is necessary to ensure that everyoneinvolved is competent to undertake their work,including employers, employees, the self-employed,consultants and contractors. The CDM Regulationsrequire that clients undertaking construction workassess the competence of the designers,contractors and CDM co-ordinators before they areemployed or appointed to undertake design andconstruction work.

The competence assessment should focus on thetype of work being undertaken and beproportionate to the risks, size and complexity ofthe work. It must ensure the contractor hassufficient knowledge of the specific tasks to beundertaken and the risks the work will entail. Theyshould also have sufficient experience ability tocarry out their health and safety duties in relation tothe work, to recognise their limitations and knowwhat actions to take to prevent harm to themselvesand anyone else who may be affected by the work.

The ACoP for the CDM Regulations states that theassessment of competence for being involved withconstruction work should be carried out in twostages. Stage 1 is an assessment of how theyorganise and manage their health and safetyarrangements. Stage 2 is an assessment of theirexperience and previous work undertaken toestablish they are capable of undertaking the workand recognise their limitations and how they shouldbe overcome. Appendix 4 of the CDM RegulationsACoP sets out the criteria, standards and examplesof evidence to demonstrate how to meet thecompetence requirements of Stage 1 and Stage 2.

Some organisations have an approved supplierchain or panel of framework consultants andcontractors. For construction work, it is important


they are assessed for competence and resources inaccordance with the requirements of the CDMRegulations.

There are third party registration bodies that assessconsultants and contractors health and safetycompetence, some of which are accreditedmembers of the HSE recognised Safety Schemes inProcurement (SSIP) forum. The registered membersof SSIP have agreements that if an organisation hasalready been assessed by a SSIP registeredmember, it is not necessary to have a fullassessment undertaken by another SSIP registeredmember (see www.ssip.org.uk for the list ofaccredited registered members). The supplier whois registered or accredited as compliant orapproved with an SSIP member will normally havebeen assessed to the threshold standard of Stage1. Further assessment of their competence will onlythen need to focus on the project or job specificassessment of Stage 2.

The use of consultants and contractors registeredwith one of the SSIP accredited members is anindication of a level of health and safetycompetence, but does not divest clients (or theirrepresentatives) of the client’s duty to check andensure they are competent under the requirementsof the CDM Regulations.

7.7 Notifiable projects

When a project is anticipated to take longer than30 days of work on site (they do not need to beconsecutive) or more than 500 person days (aperson day being one shift of, say, 8 hours), theproject becomes ‘notifiable’ to the Health andSafety Executive (HSE) and the client must appointin writing, two further duty holders (in addition todesigners and contractors). The first is the CDMco-ordinator, who is appointed to advise and assistthe client on all aspects of CDM and to co-ordinate

the health and safety issues of the design. Thisappointment should be made before the detaileddesign stage of the project commences to ensurethe health and safety issues of the design areconsidered and addressed at concept designstage. The second is the principal contractor,appointed to be responsible for planning andmanaging the health and safety issues of allcontractors working on the site and to liaise with allparties that are involved or may be affected by theconstruction works. This appointment should bemade as soon as possible and will depend on themethod of procurement used, to determine whetherthis will be early or later in the design process.

On ‘notifiable’ projects the CDM co-ordinator willprovide the pre-construction information on behalfof the client (the client still has to make informationavailable). There are also some additionalrequirements for the client to ensure theconstruction work does not start on site until aconstruction phase (health and safety) plan hasbeen sufficiently developed by the principalcontractor and the client is satisfied that suitablewelfare facilities will be provided (the CDM co-ordinator will assess these issues on behalf of theclient). At the end of the project the CDM co-ordinator must ensure (with the co-operation of theprincipal contractor and designers) that a healthand safety file is provided for safe keeping by theclient. The client must make the health and safetyfile available to anyone who may require access tothe premises for cleaning, maintenance repair orfuture works, to ensure they are aware of the healthand safety issues that may affect their work. Thecontents of the health and safety file are detailed inthe CDM ACoP.

Further guidance on the CDM Regulations can befound in the RICS publication CDM 2007: A guidefor clients and their advisors.


Surveying safely

RICS Practice Standards, UK

1st edition, guidance note

Surveying safely1st edition, guidance note

This guidance is for RICS members and other professionals involvedwith the property industry.

It considers health and safety responsibilities at both a corporate level(whether the organisation is large or small), and at the level of theindividual property professional.

Covering property-related businesses, it identifies the moral, ethicaland practical issues that confront property professionals everywhere,in all the work that they undertake.

This guidance is based on health and safety law in Great Britain,which covers England, Wales and Scotland.

The following key areas are covered:

• Personal and corporate responsibility for property professionals• Legal considerations and duties• Assessing hazards and risks• Property professionals’ places of work• Occupational health• Visiting premises and sites• Procurement and management of contractors and construction work

rics.org/standards rics.org/standards

GN 74/2011

Documents

RICS Surveying safely 2011 - Southampton Property …southamptonpropertyassociation.co.uk/img/.../1440062742-RICS,_Surv… · Contents RICS guidance notes 1 Introduction 2 1 Personal